Jennifer S. Moros
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.
Jennifer Stephanie Moros was a registered financial professional .
Jennifer is a previously registered financial professional and started their career in finance in 2002. Jennifer had worked at 8 firms and has passed the Series 63, Series 7TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 24, 2019 - November 2, 2020
ASHLAND SECURITIES, LLC
January 3, 2017 - July 14, 2017
NUVEEN SECURITIES, LLC
September 22, 2014 - December 31, 2016
TEACHERS PERSONAL INVESTORS SERVICES, INC.
April 12, 2013 - November 18, 2013
QUAD CAPITAL, LLC
March 23, 2007 - June 14, 2011
KENMAR SECURITIES, L.P.
November 17, 2006 - January 4, 2007
COWEN EXECUTION SERVICES LLC
July 1, 2004 - November 2, 2004
CREDIT SUISSE SECURITIES (USA) LLC
November 20, 2002 - July 7, 2004
CREDIT SUISSE ASSET MANAGEMENT SECURITIES 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
Series 7TO
Date: 3/5/2024
General Securities Representative ExaminationCurrent Firm
ASHLAND SECURITIES, LLC
CRD#: 297523 / SEC#: , 8-70133
Contact information
FINRA licenses (1 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.
