Jonathan H. Moscou
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.
Jonathan H Moscou was a registered financial professional .
Jonathan is a previously registered financial professional and started their career in finance in 2008. Jonathan had worked at 5 firms and has passed the Series 63, Series 65, SIE 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
December 21, 2016 - May 23, 2017
DAVID LERNER ASSOCIATES, INC.
July 11, 2016 - November 21, 2016
PAULSON INVESTMENT COMPANY LLC
October 15, 2014 - March 22, 2016
INTERACTIVE BROKERS CORP.
February 18, 2014 - July 18, 2014
RHINO TRADING PARTNERS, LLC
June 18, 2008 - February 19, 2014
MILLER TABAK + CO., 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
Current Firm
DAVID LERNER ASSOCIATES, INC.
CRD#: 5397 / SEC#: , 8-20746
Contact information
FINRA licenses (50 States and Territories)
Disclosures
| Regulatory Event | 22 |
| Arbitration | 19 |
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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