Kevin S. Moss
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.
Kevin Scott Moss was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1999. Kevin had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 55, Series 7, Series 27, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 13, 2017 - October 4, 2018
FORGE SECURITIES LLC
July 12, 2012 - October 1, 2015
FORGE SECURITIES LLC
July 5, 2011 - January 19, 2012
FIRST NEW YORK SECURITIES L.L.C.
July 14, 2009 - January 31, 2011
LITTLE RIVER CAPITAL, LLC
May 9, 2006 - October 26, 2006
OPUS TRADING FUND LLC
January 11, 2005 - April 14, 2005
WG TRADING COMPANY LIMITED PARTNERSHIP
August 10, 2001 - March 29, 2004
SCHONFELD SECURITIES, LLC
March 8, 2000 - August 7, 2001
COMMERZBANK CAPITAL MARKETS CORP.
May 26, 1999 - February 17, 2000
REUTERS C CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 7/12/2011
Limited Representative-Equity Trader ExamCurrent Firm
FORGE SECURITIES LLC
CRD#: 134596 / SEC#: , 8-66846
Contact information
FINRA licenses (53 States and Territories)
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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