Travis Anton Morse Mood
Professional Summary
Travis Anton Morse Mood, who also goes by Travis Anton Mood, is a registered financial advisor currently at VCS VENTURE SECURITIES located in Topeka, Kansas. Travis is registered as a RR (Registered Representative) and started their career in finance in 2005. Travis has worked at 5 firms and has passed the Series 66, Series 99TO, SIE, Series 7, Series 4 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Travis Anton Morse Mood, Travis Anton Mood
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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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Years of Experience
21 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
D R F BUSINESS AND FINANCIAL SERVICES, LLC | VCS VENTURE SECURITIES | PRIMARY CAPITAL, LLC | NEW AGE VENTURE CAPITAL, LLC | MW VENTURES, LLC
Contact Information
Main Address
29 Broadway Suite 1502, New York, NY 10006-3201Mailing Address
29 Broadway Suite 1502, New York, NY 10006-3221Phone Number
(212) 404-7696Established
Delaware since 11/16/2000Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LEO CAPITAL MARKETS, LLC | DIRECT OWNER | — |
| NEW AGE CAPITAL MANAGEMENT, LLC | DIRECT OWNER | — |
| MOOD, TRAVIS ANTON MORSE | REGISTERED OPTIONS PRINCIPAL | 4745001 |
| NIXON, JON ALAN | FINOP | 4710715 |
| STALANSKI, JOHN WALTER | CHIEF COMPLIANCE OFFICER | 2922709 |
| STALANSKI, JOHN WALTER | CHIEF OPERATING OFFICER | 2922709 |
| STALANSKI, JOHN WALTER | AMLCO | 2922709 |
Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(9/22/2021)
(9/22/2021)
(8/8/2021)
(9/22/2021)
(9/22/2021)
(8/8/2021)
(11/18/2021)
(9/22/2021)
(8/8/2021)
(9/22/2021)
(8/8/2021)
(9/22/2021)
(4/28/2023)
(3/16/2026)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Travis Anton Morse Mood's CRS (Customer Relationship Summary).
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