Mozart Prudent
Professional summary
Mozart Prudent, who also goes by Mozart Moy Prudent, Mozart M Prudent, is a registered financial professional currently at J.P. MORGAN SECURITIES LLC located in New York, New York and J.P. MORGAN PRIME INC. located in New York, New York.
Mozart is registered as a RR (Registered Representative) and started their career in finance in 2010. Mozart has worked at 6 firms and has passed the Series 65, Series 63, Series 57TO, Series 52TO, Series 79TO, SIE, Series 7, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Mozart Prudent's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 16, 2023 - Present
J.P. MORGAN SECURITIES LLC
Office #1: 270 Park Avenue, New York, NY 10017November 3, 2025 - Present
J.P. MORGAN PRIME INC.
Office #1: 270 Park Ave, New York, NY 10017November 16, 2023 - February 11, 2026
J.P. MORGAN SECURITIES LLC
June 21, 2019 - October 30, 2023
REALTA INVESTMENT ADVISORS, INC
April 24, 2014 - October 30, 2023
REALTA EQUITIES, INC.
January 4, 2011 - May 23, 2014
JOHN CARRIS INVESTMENTS LLC
October 7, 2010 - December 10, 2010
GARDEN STATE 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
(11/16/2023)
Exams
Series 57TO
Date: 2/2/2024
Securities Trader ExamSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 79TO
Date: 7/30/2021
Investment Banking Registered Representative Examination24X National Exchange LLC
BOX Exchange LLC
Cboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe C2 Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
Cboe Exchange, Inc.
FINRA
Investors' Exchange LLC
Long-Term Stock Exchange, Inc.
MEMX LLC
MIAX Emerald, LLC
MIAX PEARL, LLC
MIAX Sapphire
Miami International Securities Exchange, LLC
NYSE American LLC
NYSE Arca, Inc.
NYSE National, Inc.
NYSE Texas, Inc.
Nasdaq GEMX, LLC
Nasdaq ISE, LLC
Nasdaq MRX, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
Nasdaq Texas, LLC
New York Stock Exchange
Current Firm
J.P. MORGAN PRIME INC.
CRD#: 282107 / SEC#: , 8-69703
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN SECURITIES LLC | STOCK HOLDER | 79 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER | 2725065 |
| DEMPSEY, PATRICK PAUL | TREASURER | 2830362 |
| DICESARE, MICHAEL E | DIRECTOR, CHIEF EXECUTIVE OFFICER, AND CHAIR | 4706326 |
| KLION, ROGER JAY | CHIEF OPERATIONS OFFICER AND DIRECTOR | 5082261 |
| MEDINA, MATTHEW JOSEPH | CHIEF LEGAL OFFICER | 8115839 |
| SHERRICK, EILEEN FRANCES | CHIEF COMPLIANCE OFFICER | 2225907 |
| SISTO, MICHAEL J | DIRECTOR | 5151797 |
Red Flags
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