John R. Moysey
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 Robert Moysey was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1969. John had worked at 8 firms and has passed the Series 63, Series 000, Series 1, Series 4, Series 12, F04 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
March 20, 1992 - August 23, 1995
SUNPOINT SECURITIES, INC.
October 3, 1988 - February 1, 1991
DOMINICK & DICKERMAN LLC
November 7, 1985 - October 14, 1986
RIVIERE SECURITIES CORPORATION
February 13, 1974 - August 24, 1982
LAIDLAW, MARTIN & MOYSEY, INC.
August 19, 1973 - March 26, 1985
KUHNS BROTHERS & LAIDLAW, INC.
August 19, 1973 - October 3, 1988
DOMIK CORP.
September 29, 1971 - March 29, 1974
LASSISE & COMPANY INC
November 11, 1969 - March 13, 1972
AARSAND & CO.
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 000
Date: 8/19/1973
General Securities Principal ExaminationSeries 1
Date: 9/11/1968
Registered Representative ExaminationSeries 12
Date: 6/26/1980
NYSE Branch Manager ExaminationF04
Date: 6/28/1977
Financial Principal ExaminationSeries 00
Date: 10/26/1971
General Securities Principal ExaminationCurrent Firm
SUNPOINT SECURITIES, INC.
CRD#: 25442 / SEC#: , 8-41741
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LEWIS, VAN ROBERSON | CEO/PRESIDENT/FOUNDER | 1562328 |
| CHILDERS, DIANNE BAILEY | VP COMPLIANCE | |
| HAGEN, BRETT WILLIAM | CHIEF OPERATIONS OFFICER | |
| KATZ, DONALD LESTER | FINOP/EXECUTIVE VICE PRESIDENT ACCOUNTING AND COMPLIANCE | |
| SAPAUGH, MARVIN WAYNE | EXECUTIVE V.P. OF INVESTMENT SERVICES |
Disclosures
| Regulatory Event | 14 |
| Civil Event | 1 |
| Arbitration | 11 |
| Bond | 1 |
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.
