David R. Mosca
Professional summary
David Raymond Mosca, who also goes by David R Mosca, is a registered financial professional currently at ALLEN & COMPANY LLC located in New York, New York.
David is registered as a RR (Registered Representative) and started their career in finance in 2011. David has worked at 1 firm and has passed the Series 7TO, SIE, Series 79 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Raymond Mosca's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 25, 2011 - Present
ALLEN & COMPANY LLC
Office #1: 711 Fifth Avenue, New York, NY 10022State 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: 3/25/2022
General Securities Representative ExaminationFINRA
Investors' Exchange LLC
Nasdaq Stock Market
Current Firm
ALLEN & COMPANY LLC
CRD#: 1042 / SEC#: , 8-12123
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLEN OPERATIONS LLC | PARENT COMPANY | |
| ALLEN, HERBERT, III ANTHONY | MANAGING DIRECTOR & PRESIDENT | 1532662 |
| DIIORIO, PETER | GENERAL COUNSEL | 5309583 |
| GOLINSKY, JODI | CHIEF COMPLIANCE OFFICER AND DEPUTY GENERAL COUNSEL | 7671190 |
| MOORE, THOMAS MICHAEL | VICE PRESIDENT - OPERATIONS (CHIEF OPERATIONS OFFICER) | 6046204 |
| VAHABZADEH, SALIMA | MANAGING DIRECTOR, CHIEF FINANCIAL OFFICER, FINANCIAL OPERATIONS PRINCIPAL | 3093372 |
Disclosures
| Regulatory Event | 14 |
Red Flags
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