Moshe Bajnon

NUVEEN SECURITIES

New York, NY 10152

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CRD#: 4124712

Professional summary

Moshe Bajnon is a registered financial professional currently at NUVEEN SECURITIES, LLC located in New York, New York.

Moshe is registered as a RR (Registered Representative) and started their career in finance in 2003. Moshe has worked at 6 firms and has passed the Series 63, Series 66, SIE, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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 Moshe Bajnon'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

January 24, 2025 - Present

NUVEEN SECURITIES, LLC

Office #1: 375 Park Avenue, New York, NY 10152

CRD#: 469

New York, NY

Past

July 12, 2022 - September 26, 2024

ARES WEALTH MANAGEMENT SOLUTIONS, LLC

CRD#: 119546

New York, NY

Past

June 2, 2016 - July 8, 2022

ARES MANAGEMENT CAPITAL MARKETS LLC

CRD#: 166219

NEW YORK, NY

Past

June 1, 2009 - October 11, 2011

MORGAN STANLEY

RIA

CRD#: 149777

PURCHASE, NY

Past

June 1, 2009 - October 11, 2011

MORGAN STANLEY

CRD#: 149777

PURCHASE, NY

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

PURCHASE, NY

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

PURCHASE, NY

Past

July 14, 2005 - April 2, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

PURCHASE, NY

Past

January 24, 2003 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Alabama
(1/24/2025)

Alaska
(1/24/2025)

Arizona
(1/24/2025)

Arkansas
(1/24/2025)

California
(1/24/2025)

Colorado
(1/24/2025)

Connecticut
(1/24/2025)

Delaware
(1/24/2025)

District of Columbia
(1/24/2025)

Florida
(1/24/2025)

Georgia
(1/24/2025)

Hawaii
(1/24/2025)

Idaho
(1/24/2025)

Illinois
(1/24/2025)

Indiana
(1/24/2025)

Iowa
(1/24/2025)

Kansas
(1/24/2025)

Kentucky
(1/24/2025)

Louisiana
(1/24/2025)

Maine
(1/24/2025)

Maryland
(1/24/2025)

Massachusetts
(1/24/2025)

Michigan
(1/24/2025)

Minnesota
(1/24/2025)

Mississippi
(1/24/2025)

Missouri
(1/24/2025)

Montana
(1/24/2025)

Nebraska
(1/24/2025)

Nevada
(1/24/2025)

New Hampshire
(1/24/2025)

New Jersey
(1/24/2025)

New Mexico
(1/24/2025)

New York
(1/24/2025)

North Carolina
(1/24/2025)

North Dakota
(1/24/2025)

Ohio
(1/24/2025)

Oklahoma
(1/24/2025)

Oregon
(1/24/2025)

Pennsylvania
(1/24/2025)

Puerto Rico
(1/24/2025)

Rhode Island
(1/24/2025)

South Carolina
(1/24/2025)

South Dakota
(1/24/2025)

Tennessee
(1/24/2025)

Texas
(1/24/2025)

Utah
(1/24/2025)

Vermont
(1/24/2025)

Virgin Islands
(1/24/2025)

Virginia
(1/24/2025)

Washington
(1/24/2025)

West Virginia
(1/24/2025)

Wisconsin
(1/24/2025)

Wyoming
(1/24/2025)

Exams

State Security Law Exam

Series 63

Date: 4/27/2016

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 6/23/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 3/22/2005

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 1/23/2003

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/28/2023

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

NUVEEN SECURITIES, LLC

JOHN NUVEEN & CO., INCORPORATED | NUVEEN SECURITIES, LLC | NUVEEN SECURITIES - USED ON SALES AND MARKETING LITERATURE | NUVEEN INVESTMENTS, LLC | NUVEEN INVESTMENTS

CRD#: 469 / SEC#: , 8-13464

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

333 West Wacker Drive, Chicago, IL 60606-1286

Mailing Address

333 West Wacker Drive, Chicago, IL 60606-1286

Phone number

(312) 917-7700

Established

Delaware since 09/07/1967

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
NUVEEN INVESTMENTS, INC.	MANAGING MEMBER
CARLIN, JEFFREY DENNIS	CHIEF EXECUTIVE OFFICER	2684780
MANGANO, JENNIFER LYNN	CHIEF FINANCIAL OFFICER	7659359
SATRE, LUCAS ARTHUR	GENERAL COUNSEL	2208099
SMITH, SHANITA SPIVEY	CHIEF COMPLIANCE OFFICER	5174146

Disclosures

Regulatory Event	7
Civil Event	2
Arbitration	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.

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Advisor Monitoring

Firm Stability Insights

Moshe Bajnon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Moshe Bajnon's CRS (Customer Relationship Summary).

Certified licenses

Experience

ARES WEALTH MANAGEMENT SOLUTIONS, LLC

ARES MANAGEMENT CAPITAL MARKETS LLC

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 4/27/2016

Series 66

Date: 6/23/2005

SIE

Date: 10/1/2018

Series 3

Date: 3/22/2005

Series 7

Date: 1/23/2003

Series 24

Date: 2/28/2023

FINRA

Current Firm

NUVEEN SECURITIES, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

NUVEEN SECURITIES, LLC

TRUST BUT VERIFY

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