John A. Moers
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.
John Anthony Moers III, who also goes by John Moers, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1995. John had worked at 10 firms and has passed the Series 63, SIE, Series 25, Series 55, Series 7, Series 24, Series 14, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 6, 2010 - October 28, 2010
JOHN N. SEIP & CO., INC.
March 23, 2009 - April 7, 2010
KABRIK TRADING LLC
July 22, 2004 - April 1, 2009
HALCYON CABOT PARTNERS, LTD.
April 28, 2004 - August 3, 2004
FRANK J. CANNAROZZO, SOLE PROPRIETOR
April 12, 2001 - October 21, 2016
STUART FRANKEL & CO., INCORPORATED
October 1, 2000 - May 7, 2004
J & D SECURITIES LLC
August 25, 1998 - November 6, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 17, 1996 - March 4, 1998
CARLIN EQUITIES, LLC
September 24, 1996 - October 18, 1996
ON-SITE TRADING, INC.
November 3, 1995 - October 13, 1997
WIN CAPITAL CORP.
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
Series 25
Date: 4/12/2001
NYSE Trading Assistant ExaminationSeries 55
Date: 7/20/2000
Limited Representative-Equity Trader ExamCurrent Firm
JOHN N. SEIP & CO., INC.
CRD#: 35501 / SEC#: , 8-46706
Contact information
Documents
Red Flags
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