Elias (. Moosa
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.
Elias ("nmn") Moosa, who also goes by Elias Moosa, was a registered financial professional .
Elias is a previously registered financial professional and started their career in finance in 1997. Elias had worked at 5 firms and has passed the Series 63 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
June 12, 2007 - March 3, 2015
YERBA BUENA GROUP, LLC
February 26, 1999 - February 1, 2000
THOMAS WEISEL PARTNERS LLC
September 1, 1998 - February 19, 1999
ROBERTSON STEPHENS, INC.
October 1, 1997 - September 1, 1998
BANCAMERICA SECURITIES, INC.
March 10, 1997 - October 1, 1997
ROBERTSON, STEPHENS & COMPANY 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
YERBA BUENA GROUP, LLC
CRD#: 143738 / SEC#:
Contact information
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.
