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JM

Jeffrey N. Mosseri

FOUR POINTS CAPITAL PARTNERS LLC
New York, NY 10016
Some features on this profile are disabled
CRD#: 341507
JM

Professional summary

Jeffrey Nessim Mosseri, who also goes by Jeff Mosseri, Jeffrey Mosseri, is a registered financial professional currently at FOUR POINTS CAPITAL PARTNERS LLC located in New York, New York.

Jeffrey is registered as a RR (Registered Representative) and started their career in finance in 1968. Jeffrey has worked at 8 firms and has passed the Series 63, Series 7TO, Series 79TO, SIE, Series 1, Series 24 and Series 40 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jeff Mosseri | Jeffrey Mosseri

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jeffrey Nessim Mosseri's CRS (Customer Relationship Summary).
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®
None

Experience

Current

August 1, 2024 - Present

FOUR POINTS CAPITAL PARTNERS LLC

Office #1: 99 Park Avenue Suite 810, New York, NY 10016
BD
CRD#: 43149
New York, NY
Past

May 19, 2009 - August 15, 2024

AXIOM CAPITAL MANAGEMENT, INC.

BD
CRD#: 26580
NEW YORK, NY
Past

November 7, 2005 - May 21, 2009

W.A. CAPITAL MARKETS

BD
CRD#: 6292
NEW YORK, NY
Past

January 17, 1985 - November 3, 2005

GOLDSMITH & HARRIS INCORPORATED

BD
CRD#: 13997
NEW YORK, NY
Past

August 14, 1978 - November 27, 1984

PRESCOTT, BALL & TURBEN, INC.

BD
CRD#: 7656
Past

January 17, 1978 - August 14, 1978

PRESCOTT, BALL & TURBEN

BD
CRD#: 7342
Past

September 25, 1973 - May 17, 1978

L. F. ROTHSCHILD & CO. INCORPORATED

BD
CRD#: 501
Past

October 2, 1968 - July 28, 1973

WHITE, WELD & CO. INCORPORATED

BD
CRD#: 6802

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
California
(8/1/2024)
RR
New York
(8/1/2024)
RR
Texas
(8/1/2024)
RR
Virginia
(9/5/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 8/19/1981
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 1
Date: 9/27/1968
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/2/2023
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 40
Date: 6/29/1978
Registered Principal Examination
SRO Registrations
RR
FINRA

Current Firm

FP
FOUR POINTS CAPITAL PARTNERS LLC
AURORA FINANCIAL SERVICES, L.L.C. | HAYDEN & ASSOCIATES | FOUR POINTS CAPITAL PARTNERS LLC

CRD#: 43149 / SEC#: , 8-50162

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
55a E. Ridgewood Avenue Suite 12, Ridgewood, NJ 07450
Mailing Address
55a E. Ridgewood Avenue Suite 12, Ridgewood, NJ 07450
Phone number
(212) 257-5240
Established
Texas since 07/23/1997
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
5M HOLDINGS LLCMANAGING MEMBER
GRAY, JOHN CLARKECHIEF FINANCIAL OPERATIONS OFFICER / CFO1367440
MARTINO, MICHAEL CHRISTOPHERCHIEF EXECUTIVE OFFICER2579146
MURPHY, GENE RYANCHIEF OPERATIONS OFFICER4739772
TOOKE, JEFFREY ACHIEF COMPLIANCE OFFICER, AMLCO5621579

Disclosures

Regulatory Event1

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.

Company Information

FOUR POINTS CAPITAL PARTNERS LLC

CRD#: 43149New York, NY 10016

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