Jason F. Moshonas
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.
Jason Frank Moshonas was a registered financial professional .
Jason is a previously registered financial professional and started their career in finance in 1996. Jason had worked at 5 firms and has passed the Series 63, Series 55 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
January 5, 2009 - April 26, 2012
LEGEND MERCHANT GROUP, INC.
July 30, 2007 - January 6, 2009
NEXT GENERATION EQUITY RESEARCH LLC
April 3, 2007 - June 4, 2007
SAMUELS CHASE & CO., INC.
January 21, 1999 - November 10, 2006
B. RILEY & CO., LLC
July 3, 1996 - January 11, 1999
MPAC CAPITAL PARTNERS, L.P.
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 55
Date: 10/14/1998
Limited Representative-Equity Trader ExamCurrent Firm
LEGEND MERCHANT GROUP, INC.
CRD#: 5155 / SEC#: 801-63525, 8-21703
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LEDGE END CORP. | OWNER | |
| UNSWORTH, DAVID WOODS JR | CHAIRMAN, CCO, CEO & PRESIDENT | 1609040 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 4 |
| Judgment/Lien | 4 |
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.
