Joseph W. 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.
Joseph White Mooney was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1996. Joseph had worked at 7 firms and has passed the Series 63, Series 79TO, SIE, Series 7 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
November 16, 2022 - April 8, 2024
ANCORIS SECURITIES LLC
June 11, 2018 - January 6, 2023
JEFFERIES LLC
August 10, 2016 - June 18, 2018
HOULIHAN LOKEY CAPITAL, INC.
April 18, 2013 - July 13, 2016
DC ADVISORY
August 22, 2000 - December 5, 2012
CITIGROUP GLOBAL MARKETS INC.
March 4, 1998 - June 1, 1999
MORGAN STANLEY & CO. LLC
November 28, 1997 - March 9, 1998
CITIGROUP GLOBAL MARKETS INC.
September 23, 1996 - March 9, 1998
SALOMON BROTHERS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
ANCORIS SECURITIES LLC
CRD#: 305279 / SEC#: , 8-70753
Contact information
FINRA licenses (10 States and Territories)
Documents
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.
