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RM

Richard A. Moogan

Some features on this profile are disabled
CRD#: 4910096
RM

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.

Richard A Moogan, who also goes by Richard Anthony Moogan, Rich A Moogan, was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 2005. Richard had worked at 12 firms and has passed the Series 63, Series 57TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Richard Anthony Moogan | Rich A Moogan

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 3, 2025 - December 9, 2025

DAWSON JAMES SECURITIES, INC.

BD
CRD#: 130645
BOCA RATON, FL
Past

January 13, 2020 - February 2, 2023

PERSHING LLC

BD
CRD#: 7560
BOCA RATON, FL
Past

January 13, 2020 - February 2, 2023

BNY MELLON CAPITAL MARKETS, LLC

BD
CRD#: 17454
BOCA RATON, FL
Past

November 7, 2017 - December 3, 2019

SUMMIT BROKERAGE SERVICES, INC.

BD
CRD#: 34643
BOCA RATON, FL
Past

November 7, 2017 - January 17, 2020

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
BOCA RATON, FL
Past

January 5, 2016 - November 8, 2016

EPIC CAPITAL SECURITIES

BD
CRD#: 166756
BOCA RATON, FL
Past

September 30, 2015 - December 8, 2015

R.M. STARK & CO., INC.

BD
CRD#: 7612
LAKE WORTH BEACH, FL
Past

March 5, 2013 - October 22, 2013

COHEN & COMPANY SECURITIES, LLC

BD
CRD#: 149758
BOCA RATON, FL
Past

August 17, 2011 - March 12, 2013

IAA FINANCIAL LLC

BD
CRD#: 6578
WEST PALM BEACH, FL
Past

May 31, 2011 - June 29, 2011

SECUREVEST FINANCIAL GROUP

BD
CRD#: 10100
BOCA RATON, FL
Past

April 16, 2007 - May 12, 2011

JVB FINANCIAL GROUP, LLC

BD
CRD#: 104412
DENVER, CO
Past

February 9, 2005 - April 11, 2007

LASALLE FINANCIAL SERVICES, INC.

BD
CRD#: 20373
CHICAGO, IL

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 11/26/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 8/29/2025
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/8/2005
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/17/2018
General Securities Principal Examination

Current Firm

DJ
DAWSON JAMES SECURITIES, INC.
DAWSON JAMES SECURITIES, INC.

CRD#: 130645 / SEC#: , 8-66367

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

Main Address
101 North Federal Highway Suite 600, Boca Raton, FL 33432
Mailing Address
101 North Federal Highway Suite 600, Boca Raton, FL 33432
Phone number
(561) 391-5555
Established
Florida since 07/30/2002
Firm type
Corporation
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#
ARK FINANCIAL SERVICES, INC.OWNER
DORFMAN, JENNIFERCHIEF COMPLIANCE OFFICER/AML COMPLIANCE OFFICER3009328
KEYSER, ROBERT DAWSON JR.CEO1291503
STICE, HAROLD EUGENECHIEF FINANCIAL OFFICER/FINOP1349210

Disclosures

Regulatory Event12
Civil Event1
Arbitration3

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

DAWSON JAMES SECURITIES, INC.

CRD#: 130645

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