George H. Moseman
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
George Harmon Moseman IV was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1993. George had worked at 9 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 2, 2012 - November 23, 2012
INTEGRATED TRADING AND INVESTMENTS, INC.
February 19, 2010 - May 6, 2010
MORRIS FINANCIAL, INC.
October 25, 2007 - December 5, 2007
NEWPORT COAST SECURITIES, INC.
October 22, 2007 - October 25, 2007
AIS FINANCIAL, INC.
January 16, 2006 - March 19, 2007
AIS FINANCIAL, INC.
January 22, 2003 - April 6, 2004
NEWPORT COAST SECURITIES, INC.
July 11, 1999 - February 8, 2001
EQUITY TRUST ADVISORS, INC.
August 21, 1995 - April 8, 1998
TRADEWAY SECURITIES GROUP, INC.
July 31, 1993 - September 20, 1993
CITIGROUP GLOBAL MARKETS INC.
April 14, 1993 - July 31, 1993
LEHMAN BROTHERS INC.
January 7, 1993 - March 19, 1993
INTERFIRST CAPITAL CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
INTEGRATED TRADING AND INVESTMENTS, INC.
CRD#: 47730 / SEC#: , 8-51880
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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