James D. 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.
James Daniel Mooney, who also goes by J Daniel Mooney, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1999. James had worked at 5 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7, Series 14, 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
June 10, 2020 - January 29, 2025
GT SECURITIES, INC.
May 29, 2008 - March 16, 2020
EAST WEST MARKETS, LLC
August 1, 2006 - June 10, 2008
STARLIGHT FUNDING INVESTMENTS, LLC
July 22, 2005 - July 10, 2006
SKYSTONE SECURITIES, LLC
April 13, 1999 - April 19, 2001
ENERGY SPECTRUM ADVISORS INC.
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
GT SECURITIES, INC.
CRD#: 116012 / SEC#: , 8-53527
Contact information
FINRA licenses (51 States and Territories)
Red Flags
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