James A. Moore
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.
James Arthur Moore, who also goes by Jim Moore, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1996. James had worked at 9 firms and has passed the 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
March 19, 2016 - December 3, 2017
BA SECURITIES, LLC
May 19, 2015 - February 24, 2016
B. RILEY & CO., LLC
October 5, 2012 - May 8, 2015
STILLPOINT CAPITAL, LLC
January 20, 2010 - September 26, 2012
GROWTH CAPITAL SERVICES, INC.
October 30, 2008 - November 12, 2009
SJ CAPITAL, INC.
July 28, 2005 - October 20, 2008
NORTH POINT MERGERS AND ACQUISITIONS, INC.
June 7, 1999 - June 4, 2002
DEUTSCHE BANK SECURITIES INC.
September 1, 1997 - June 7, 1999
DB ALEX. BROWN LLC
January 1, 1996 - September 1, 1997
ALEX. BROWN & SONS INCORPORATED
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
BA SECURITIES, LLC
CRD#: 153489 / SEC#: , 8-68545
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BA HOLDCO, LLC | OWNER | |
| BOLDEN, MICHAEL LABRADOR | CHIEF COMPLIANCE OFFICER | 6411755 |
| CHUFF, JOHN JOSEPH | PRESIDENT | 1205736 |
| HATLING, PEDER ALAN | PRINCIPAL | 5240595 |
| JUILIANO, COLLEEN JANE | FINOP | 4818898 |
| KELLER-YOUNG, SUZANNE | OPERATIONS MANAGER | 5495492 |
| PICKENS, DANIEL NEHIL | PRINCIPAL | 1042225 |
| WENTZLER, DENNIS RAYMOND | CHIEF OPERATIONS OFFICER & AML OFFICER | 4221461 |
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.
