Thomas J. Moyna
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.
Thomas James Moyna was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1967. Thomas had worked at 9 firms and has passed the Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 6, 2001 - November 6, 2003
CHATSWORTH SECURITIES LLC
August 1, 1989 - February 28, 2000
COWEN AND COMPANY
April 27, 1988 - July 10, 1989
SWERGOLD, CHEFITZ & INCORPORATED
March 2, 1987 - March 14, 1988
KLEINWORT BENSON NORTH AMERICA INC.
September 15, 1978 - February 24, 1987
SBCI SWISS BANK CORPORATION INVESTMENT BANKING INC.
April 14, 1977 - October 15, 1978
NOMURA SECURITIES INTERNATIONAL, INC.
April 23, 1976 - May 9, 1977
SBCI SWISS BANK CORPORATION INVESTMENT BANKING INC.
May 23, 1975 - December 3, 1975
THOMSON MCKINNON SECURITIES INC.
April 2, 1973 - January 23, 1975
ADVEST, INC.
December 20, 1967 - May 5, 1973
G H WALKER AND CO INCORPORATED
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: 12/18/1967
Registered Representative ExaminationSeries 40
Date: 12/4/1978
Registered Principal ExaminationCurrent Firm
CHATSWORTH SECURITIES LLC
CRD#: 40804 / SEC#: 801-120061, 8-49199
Contact information
FINRA licenses (6 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DIFIORE, RALPH RAYMOND | SENIOR MANAGING DIRECTOR / CHIEF COMPLIANCE OFFICER / AML OFFICER / CHIEF EXECUTIVE OFFICER | 1913027 |
| FULVIO, GENNARO JOHN | FINOP | 2435828 |
| MACLEAN, DANIEL CRAWFORD | SENIOR MANAGING DIRECTOR | 1467579 |
| MATCOVSKY, JOEL JAY | SENIOR MANAGING DIRECTOR | 1769496 |
| THE ESTATE OF CURTIS E. GOWDY | ESTATE |
Disclosures
| Regulatory Event | 1 |
Red Flags
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