David J. Moffitt
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.
David James Moffitt was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2001. David had worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 2, 2014 - August 8, 2017
J.C. FLOWERS SECURITIES CO. LLC
July 16, 2014 - September 8, 2014
COHEN & COMPANY SECURITIES, LLC
November 20, 2009 - June 30, 2011
MORGAN STANLEY & CO. LLC
October 6, 2006 - October 30, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 14, 2006 - October 30, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 14, 2004 - March 24, 2006
NATWEST MARKETS SECURITIES INC.
August 23, 2001 - June 10, 2004
CREDIT SUISSE SECURITIES (USA) LLC
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
Current Firm
J.C. FLOWERS SECURITIES CO. LLC
CRD#: 168757 / SEC#: , 8-69325
Contact information
FINRA licenses (2 States and Territories)
Documents
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.
