JM
Jonathan D. Moll
BA SECURITIES
W. Conshohocken, PA 19428
Some features on this profile are disabled
CRD#: 3154134
JM
Professional summary
Jonathan David Moll is a registered financial professional currently at BA SECURITIES, LLC located in W. Conshohocken, Pennsylvania.
Jonathan is registered as a RR (Registered Representative) and started their career in finance in 1999. Jonathan has 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
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Jonathan David Moll's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
December 22, 2023 - Present
BA SECURITIES, LLC
Office #1: Four Tower Bridge 200 Barr Harbor Drive, Suite 400, W. Conshohocken, PA 19428BD
CRD#: 153489
W. Conshohocken, PA
Past
October 11, 2022 - December 22, 2023
BRIARCLIFFE CREDIT PARTNERS, LLC
BD
CRD#: 313453
NEW YORK, NY
Past
January 14, 2022 - January 4, 2024
KINGSWOOD CAPITAL PARTNERS, LLC
BD
CRD#: 288898
New York, NY
Past
September 7, 2021 - January 6, 2022
FOUR POINTS CAPITAL PARTNERS LLC
BD
CRD#: 43149
RIDGEWOOD, NJ
Past
April 1, 2014 - September 8, 2021
WHITE OAK MERCHANT PARTNERS LLC
BD
CRD#: 140142
SAN FRANCISCO, CA
Past
June 13, 2012 - July 23, 2013
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
SAN FRANCISCO, CA
Past
February 16, 2011 - January 12, 2012
KKR CAPITAL MARKETS LLC
BD
CRD#: 143571
SAN FRANCISCO, CA
Past
January 20, 2006 - June 12, 2008
CUTWATER ASSET MANAGEMENT
BD
CRD#: 37214
ARMONK, NY
Past
March 10, 1999 - August 25, 2005
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
BD
CRD#: 25567
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(2/13/2024)
RR
Alaska(2/13/2024)
RR
Arizona(2/13/2024)
RR
Arkansas(2/13/2024)
RR
California(12/22/2023)
RR
Colorado(2/13/2024)
RR
Connecticut(2/13/2024)
RR
Delaware(2/13/2024)
RR
District of Columbia(2/13/2024)
RR
Florida(2/13/2024)
RR
Georgia(2/13/2024)
RR
Hawaii(2/13/2024)
RR
Idaho(2/13/2024)
RR
Illinois(2/13/2024)
RR
Indiana(2/13/2024)
RR
Iowa(2/13/2024)
RR
Kansas(2/13/2024)
RR
Kentucky(2/13/2024)
RR
Louisiana(2/13/2024)
RR
Maine(2/13/2024)
RR
Maryland(2/13/2024)
RR
Massachusetts(2/13/2024)
RR
Michigan(2/13/2024)
RR
Minnesota(2/13/2024)
RR
Mississippi(2/13/2024)
RR
Missouri(2/13/2024)
RR
Montana(2/13/2024)
RR
Nebraska(2/13/2024)
RR
Nevada(2/13/2024)
RR
New Hampshire(2/13/2024)
RR
New Jersey(2/13/2024)
RR
New Mexico(2/13/2024)
RR
New York(12/22/2023)
RR
North Carolina(2/13/2024)
RR
North Dakota(2/13/2024)
RR
Ohio(2/13/2024)
RR
Oklahoma(2/13/2024)
RR
Oregon(2/13/2024)
RR
Pennsylvania(12/22/2023)
RR
Puerto Rico(2/13/2024)
RR
Rhode Island(2/13/2024)
RR
South Carolina(2/13/2024)
RR
South Dakota(2/13/2024)
RR
Texas(2/13/2024)
RR
Utah(2/13/2024)
RR
Vermont(2/13/2024)
RR
Virgin Islands(2/13/2024)
RR
Virginia(2/13/2024)
RR
Washington(2/13/2024)
RR
West Virginia(2/13/2024)
RR
Wisconsin(2/13/2024)
RR
Wyoming(2/13/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
BS
BA SECURITIES, LLC
BA SECURITIES, LLC | BLACKWOLF ADVISORS, LLC | BLACKWOLF ADVISORS
CRD#: 153489 / SEC#: , 8-68545
BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
Four Tower Bridge 200 Barr Harbor Drive, Suite 400, W. Conshohocken, PA 19428
Mailing Address
Four Tower Bridge 200 Barr Harbor Drive, Suite 400, W. Conshohocken, PA 19428
Phone number
(877) 738-5841
Established
Pennsylvania since 01/25/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
