Michael S. Moscuzza
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.
Michael Santino Moscuzza, who also goes by Michael S Moscuzza, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2006. Michael had worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 18, 2011 - January 2, 2019
CITIZENS JMP SECURITIES, LLC
September 19, 2008 - June 10, 2010
UBS FINANCIAL SERVICES INC.
September 19, 2008 - June 10, 2010
UBS FINANCIAL SERVICES INC.
June 17, 2008 - October 2, 2008
LEHMAN BROTHERS INC.
June 16, 2008 - October 2, 2008
LEHMAN BROTHERS INC.
June 21, 2007 - June 23, 2008
THOMAS WEISEL PARTNERS LLC
June 21, 2007 - June 23, 2008
THOMAS WEISEL PARTNERS LLC
May 7, 2007 - June 19, 2007
M.L. STERN & CO., LLC.
October 26, 2006 - June 19, 2007
M.L. STERN & CO., 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
Exams
Current Firm
CITIZENS JMP SECURITIES, LLC
CRD#: 22208 / SEC#: , 8-39613
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JMP HOLDING LLC | PARENT COMPANY | |
| CONROY, WALTER IVOR | GENERAL COUNSEL | 6641487 |
| GREGORY, JOHN | PRESIDENT | 4600619 |
| JACKSON, RAYMOND SIVA | CHIEF FINANCIAL OFFICER | 5563363 |
| MANNING, SIMON STONE | SENIOR REGISTERED OPTIONS PRINCIPAL (SROP) | 1941279 |
| MCLAUGHLIN, BRENDAN | CHIEF COMPLIANCE OFFICER | 2562815 |
| O'DAY, JAMES CORTLAND | HEAD OF EQUITIES | 5618215 |
| SLADER, GAVIN WILLEY | HEAD OF INVESTMENT BANKING | 4130019 |
| SPURR, JEFFREY HOLMES | HEAD OF RESEARCH | 1384716 |
| SUCHY, GREGORY JOHN | CHIEF OPERATING OFFICER / PRINCIPAL OPERATIONS OFFICER | 5907019 |
| WHITEHEAD, AIDAN PETER | HEAD OF TRADING & SALES TRADING | 2474257 |
| XIAO, ZHUO VIVIAN XUAN | FINOP | 5121578 |
Disclosures
| Regulatory Event | 6 |
Red Flags
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