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Travis A. Mood

VCS VENTURE SECURITIES
TOPEKA, KS
Some features on this profile are disabled
CRD#: 4745001
TM

Professional summary

Travis Anton Morse Mood, who also goes by Travis Anton Mood, is a registered financial professional 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.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Travis Anton Mood

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 Travis Anton Morse Mood'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

August 8, 2021 - Present

VCS VENTURE SECURITIES

BD
CRD#: 127921
TOPEKA, KS
Past

April 6, 2021 - June 21, 2021

OFG FINANCIAL SERVICES, INC.

RIA
CRD#: 23940
TOPEKA, KS
Past

April 5, 2021 - June 21, 2021

OFG FINANCIAL SERVICES, INC.

BD
CRD#: 23940
TOPEKA, KS
Past

March 18, 2014 - April 1, 2021

AXOS CLEARING LLC

BD
CRD#: 117176
OMAHA, NE
Past

April 22, 2006 - October 1, 2013

TD AMERITRADE, INC.

BD
CRD#: 7870
OMAHA, NE
Past

June 17, 2005 - April 22, 2006

TD AMERITRADE CLEARING, INC.

BD
CRD#: 5633
FORT WORTH, TX

State Registrations and Notice Filings

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

RR
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

RR
California
(9/22/2021)
RR
Colorado
(9/22/2021)
RR
Florida
(8/8/2021)
RR
Georgia
(9/22/2021)
RR
Illinois
(9/22/2021)
RR
Kansas
(8/8/2021)
RR
Maine
(11/18/2021)
RR
Maryland
(9/22/2021)
RR
Massachusetts
(8/8/2021)
RR
New Jersey
(9/22/2021)
RR
New York
(8/8/2021)
RR
Puerto Rico
(9/22/2021)
RR
Tennessee
(4/28/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/30/2005
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/16/2005
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 4/15/2008
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/24/2007
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

VV
VCS VENTURE SECURITIES
D R F BUSINESS AND FINANCIAL SERVICES, LLC | VCS VENTURE SECURITIES | PRIMARY CAPITAL, LLC

CRD#: 127921 / SEC#: , 8-66069

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
29 Broadway Suite 1502, New York, NY 10006-3201
Mailing Address
29 Broadway Suite 1502, New York, NY 10006-3221
Phone number
(212) 404-7696
Established
Delaware since 11/16/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
LEO CAPITAL MARKETS, LLCDIRECT OWNER
NEW AGE CAPITAL MANAGEMENT, LLCDIRECT OWNER
MOOD, TRAVIS ANTON MORSEREGISTERED OPTIONS PRINCIPAL4745001
NIXON, JON ALANFINOP4710715
STALANSKI, JOHN WALTERAMLCO2922709
STALANSKI, JOHN WALTERCHIEF OPERATING OFFICER2922709
STALANSKI, JOHN WALTERCHIEF COMPLIANCE OFFICER2922709

Disclosures

Regulatory Event3

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.

Company Information

VCS VENTURE SECURITIES

CRD#: 127921Topeka, KS

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