Joshua S. Moses
Professional summary
Joshua Samuel Moses is a registered financial professional currently at INTREPID INVESTMENT BANKERS LLC located in Chicago, Illinois.
Joshua is registered as a RR (Registered Representative) and started their career in finance in 2005. Joshua has worked at 7 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joshua Samuel Moses's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 15, 2022 - Present
INTREPID INVESTMENT BANKERS LLC
Office #1: 71 South Wacker Drive Suite 300, Chicago, IL 60606August 1, 2018 - August 12, 2022
VAQUERO CAPITAL LLC
November 19, 2012 - July 16, 2018
FIRST ANALYSIS SECURITIES CORPORATION
April 13, 2010 - November 5, 2012
LINCOLN INTERNATIONAL LLC
June 6, 2008 - April 8, 2009
WILLIAM BLAIR
June 25, 2007 - August 24, 2007
PIPER SANDLER & CO.
June 2, 2005 - August 22, 2006
TERRA NOVA FINANCIAL, 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
(8/18/2022)
(1/3/2023)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
INTREPID INVESTMENT BANKERS LLC
CRD#: 154801 / SEC#: , 8-68674
Contact information
FINRA licenses (10 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MUFG AMERICAS HOLDINGS CORPORATION | DIRECT OWNER | |
| AULETTA, CHRISTOPHER THOMAS | CHIEF COMPLIANCE OFFICER | 4779644 |
| BAGDASARIAN, EDUARD | CEO | 1307175 |
| FREEDMAN, JAMES BARRY | MANAGING DIRECTOR, CHAIRMAN | 1616904 |
| MILKMAN, PAUL DAVID | CHIEF INFORMATION SECURITY OFFICER | 1564708 |
| MORIN, STACEY LYNN | CHIEF FINANCIAL OFFICER | 5649422 |
| ROSENBERG, W MICHAEL | SENIOR MANAGING DIRECTOR | 1617639 |
Red Flags
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