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Barry E. Moseley

Some features on this profile are disabled
CRD#: 2522228
BM

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.

Barry Ernesto Moseley was a registered financial professional .

Barry is a previously registered financial professional and started their career in finance in 1995. Barry had worked at 3 firms and has passed the Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

December 5, 2013 - December 10, 2013

NYPPEX, LLC

BD
CRD#: 47654
LANSING, MI
Past

July 1, 2011 - January 24, 2012

CUSO FINANCIAL SERVICES, L.P.

BD
CRD#: 42132
RYE, NY
Past

April 5, 1995 - June 30, 2011

AFFINA BROKERAGE SERVICES, LLC

BD
CRD#: 20943
RYE, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 11/3/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 4/3/1995
General Securities Representative Examination

Current Firm

NL
NYPPEX, LLC
ALLEN CAPITAL MARKETS LLC | OFFROAD RESEARCH | OFFROAD CAPITAL MARKETS LLC | OFFROAD CAPITAL | OFFROAD ADVISORS | NYPPEX, LLC | NYPPEX PRIVATE MARKETS | NYPPE, LLC | NYPPE NETWORKS LLC | NYPPE LLC | NEW YORK PRIVATE PLACEMENT NETWORK, LLC | NEW YORK PRIVATE PLACEMENT EXCHANGE LLC

CRD#: 47654 / SEC#: , 8-51849

BD
Approved by SEC on 11/29/1999
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 03/27/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
NYPPEX HOLDINGS LLCOWNER
VITTOR, GREG TODDFINOP1864219
SCHUNK, MICHAEL JOSEPHCHIEF COMPLIANCE OFFICER732595

Disclosures

Regulatory Event10
Civil Event4

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

NYPPEX, LLC

CRD#: 47654

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