Anthony J. Mossa
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.
Anthony John Mossa was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 1993. Anthony had worked at 8 firms and has passed the Series 63, Series 7TO 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
May 15, 2023 - March 20, 2025
BLOOMBERG TRADEBOOK CANADA COMPANY
October 30, 2020 - March 20, 2025
BLOOMBERG TRADEBOOK LLC
August 14, 2003 - May 4, 2006
RBC CAPITAL MARKETS, LLC
May 17, 1998 - March 11, 2003
GOLDMAN SACHS & CO. LLC
September 26, 1994 - April 13, 1998
UBS SECURITIES LLC
August 20, 1993 - September 16, 1994
KIDDER, PEABODY & CO. INCORPORATED
March 9, 1993 - April 2, 1993
GRUNTAL & CO., L.L.C.
January 19, 1993 - February 1, 1993
PRUDENTIAL EQUITY GROUP, LLC
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 7TO
Date: 10/23/2020
General Securities Representative ExaminationCurrent Firm
BLOOMBERG TRADEBOOK CANADA COMPANY
CRD#: 313267 / SEC#: , 8-70683
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BLOOMBERG CANADA LLC | SOLE SHAREHOLDER | |
| BENDER, GREGORY | DIRECTOR | 5601000 |
| BRIDGEFORD, SOH HYONG | CHIEF COMPLIANCE OFFICER | 7114514 |
| KAPLAN, PAUL WILLIAM | PRESIDENT, DIRECTOR | 4092439 |
| MILHAM, CHRISTOPHER MICHAEL | FINANCIAL AND OPERATIONS PRINCIPAL, PFO, POO | 3092157 |
| SANTORE, RICHARD RAYMOND III | DIRECTOR | 4978129 |
Red Flags
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