Michael J. Mooney
Professional summary
Michael Jeremiah Mooney was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Michael is a previously registered financial professional and started their career in finance in 1999. Prior to being barred, Michael had worked at 4 firms, which includes SOUTHPORT CAPITAL, OPPENHEIMER & CO. INC., MORGAN STANLEY DW INC., CIBC WORLD MARKETS CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 6, 2010 - August 26, 2021
SOUTHPORT CAPITAL
March 9, 2007 - May 18, 2010
OPPENHEIMER & CO. INC.
January 4, 2007 - May 18, 2010
OPPENHEIMER & CO. INC.
January 19, 2001 - February 13, 2002
MORGAN STANLEY DW INC.
December 3, 1999 - February 13, 2001
CIBC WORLD MARKETS CORP.
State Registrations and Notice Filings
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Exams
Current Firm
SOUTHPORT CAPITAL
CRD#: 113364 / SEC#: 801-60356
Contact information
Regulatory assets under management
| Total Number of Accounts | 3,003 |
| AUM (Assets Under Management) | $ 729,563,934 |
Red Flags
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