John A. 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.
John Albert Mooney was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1965. John had worked at 13 firms and has passed the Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 19, 1997 - February 2, 2012
FOOTHILL SECURITIES, INC.
September 2, 1993 - February 2, 2012
FOOTHILL SECURITIES, INC.
May 16, 1990 - September 21, 1993
SOARES FINANCIAL GROUP, INC.
April 8, 1980 - May 30, 1990
LEGEND CAPITAL CORPORATION
March 29, 1978 - January 31, 1980
AMERICAN INVESTORS COMPANY
October 10, 1977 - April 28, 1978
FRANKLIN REAL ESTATE DISTRIBUTORS, INC.
June 24, 1976 - November 10, 1977
INVESTOGENIC SERVICES, INC.
September 23, 1975 - July 9, 1976
THE VARIABLE ANNUITY MARKETING COMPANY
August 12, 1974 - October 13, 1975
FREEMAN FINANCIAL SERVICES CORPORATION
July 29, 1971 - September 24, 1974
JAMES G. FREEMAN & ASSOCIATES, INC.
March 1, 1971 - January 10, 1974
USLIFE EQUITY SALES CORP
February 9, 1971 - May 12, 1971
LOS ANGELES EQUITIES CORPORATION
September 15, 1969 - September 23, 1971
PMR & CO
November 5, 1965 - June 11, 1971
PACIFIC SECURITIES 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 1
Date: 11/4/1965
Registered Representative ExaminationSeries 00
Date: 10/24/1975
General Securities Principal ExaminationCurrent Firm
FOOTHILL SECURITIES, INC.
CRD#: 1027 / SEC#: 801-57293, 8-11117
Contact information
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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