Abel Mojica
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.
Abel Mojica III was a registered financial professional .
Abel is a previously registered financial professional and started their career in finance in 1993. Abel had worked at 4 firms and has passed the Series 66, Series 63, 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
April 20, 2017 - December 15, 2017
TORTOISEECOFIN SECURITIES, LLC
March 10, 2017 - December 15, 2017
TORTOISEECOFIN INVESTMENTS PARTNERS, LLC
July 11, 1996 - July 13, 1999
BANC ONE CAPITAL MARKETS, INC.
June 24, 1993 - July 26, 1994
CITICORP INVESTMENT SERVICES
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
TORTOISEECOFIN SECURITIES, LLC
CRD#: 285411 / SEC#: , 8-69849
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TORTOISEECOFIN BORROWER LLC (FORMERLY TORTOISE BORROWER LLC) | OWNER | |
| BEHRENS, BRENT WAYNE | CFO | |
| BIRZER, HAROLD KEVIN | DIRECTOR | 1410255 |
| BONO, DIANE MARIE | DIRECTOR | 5157289 |
| ELLIOTT, KATHERINE ANN | CHIEF COMPLIANCE OFFICER/PRESIDENT | 5385921 |
| HENSON, GARY PAUL | DIRECTOR | 2130871 |
| JOHNSTON, MICHELLE ROSS | DIRECTOR | 4131976 |
| MCKEIGUE, MICHAEL SULLIVAN | MANAGING DIRECTOR, NATIONAL ACCOUNTS | 2857839 |
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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