Peter J. Mooney
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.
Peter Joseph Mooney, who also goes by Peter J Mooney, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1998. Peter had worked at 6 firms and has passed the Series 63, Series 7, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 16, 2006 - June 13, 2007
PREBON SECURITIES (USA) INC.
August 16, 2006 - October 9, 2008
TULLETT LIBERTY BROKERAGE INC.
August 16, 2006 - July 22, 2009
TULLETT PREBON FINANCIAL SERVICES LLC
August 16, 2006 - July 22, 2009
PREBON FINANCIAL PRODUCTS INC.
June 13, 2003 - May 6, 2004
STONEHAVEN, LLC
January 29, 1998 - January 30, 2003
BROADVIEW INTERNATIONAL 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
PREBON SECURITIES (USA) INC.
CRD#: 20431 / SEC#: , 8-38243
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PREBON YAMANE (USA) INC | SHAREHOLDER | |
| CURRIE, JULIAN H | FINOP/CONTROLLER | 4337579 |
| DOWNEY, MARK GERARD | CFO/TREASURER | 2517476 |
| GOULET, STEPHEN PAUL | SVP/ASSISTANT GENERAL COUNSEL/ASSISTANT SECRETARY | 4769810 |
| MURPHY, ROBERT EMMETT | SR. VICE PRESIDENT, ASSOCIATE GENERALCOUNSEL, CCO | 1224723 |
| NOVAK, EDWARD JOSEPH JR | PRESIDENT | 1300481 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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