Shauna O. Mosley
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.
Shauna Odonnell Mosley, who also goes by Shauna O'donnell Mosley, Shauna Marie O'donnell, was a registered financial professional .
Shauna is a previously registered financial professional and started their career in finance in 2009. Shauna had worked at 3 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 30, 2017 - May 13, 2019
CORECAP INVESTMENTS, LLC
May 16, 2013 - January 26, 2017
FORESTERS EQUITY SERVICES, INC.
April 1, 2009 - June 20, 2012
BROOKSTONE SECURITIES, INC.
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
CORECAP INVESTMENTS, LLC
CRD#: 37068 / SEC#: , 8-47783
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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.
