Jonathan D. Moll
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.
Jonathan David Moll was a registered financial professional .
Jonathan is a previously registered financial professional and started their career in finance in 1999. Jonathan had worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 22, Series 6, Series 3 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 22, 2023 - April 2, 2026
BA SECURITIES, LLC
October 11, 2022 - December 22, 2023
BRIARCLIFFE CREDIT PARTNERS, LLC
January 14, 2022 - January 4, 2024
KINGSWOOD CAPITAL PARTNERS, LLC
September 7, 2021 - January 6, 2022
FOUR POINTS CAPITAL PARTNERS LLC
April 1, 2014 - September 8, 2021
WHITE OAK MERCHANT PARTNERS LLC
June 13, 2012 - July 23, 2013
PURSHE KAPLAN STERLING INVESTMENTS
February 16, 2011 - January 12, 2012
KKR CAPITAL MARKETS LLC
January 20, 2006 - June 12, 2008
CUTWATER ASSET MANAGEMENT
March 10, 1999 - August 25, 2005
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS 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
BA SECURITIES, LLC
CRD#: 153489 / SEC#: , 8-68545
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BA HOLDCO, LLC | OWNER | |
| BOLDEN, MICHAEL LABRADOR | CHIEF COMPLIANCE OFFICER | 6411755 |
| CHUFF, JOHN JOSEPH | PRESIDENT | 1205736 |
| HATLING, PEDER ALAN | PRINCIPAL | 5240595 |
| JUILIANO, COLLEEN JANE | FINOP | 4818898 |
| KELLER-YOUNG, SUZANNE | OPERATIONS MANAGER | 5495492 |
| PICKENS, DANIEL NEHIL | PRINCIPAL | 1042225 |
| WENTZLER, DENNIS RAYMOND | CHIEF OPERATIONS OFFICER & AML OFFICER | 4221461 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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