Kassee A. Moseley
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.
Kassee Alison Moseley, who also goes by Kassee Alison Slama, was a registered financial professional .
Kassee is a previously registered financial professional and started their career in finance in 2011. Kassee had worked at 3 firms and has passed the 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
July 21, 2017 - December 12, 2019
PACIFIC POINT SECURITIES, LLC
September 16, 2014 - July 9, 2015
SHOPOFF SECURITIES, INC.
November 28, 2012 - May 15, 2013
TNP SECURITIES, LLC
November 2, 2011 - August 3, 2012
TNP SECURITIES, 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
PACIFIC POINT SECURITIES, LLC
CRD#: 150272 / SEC#: , 8-68239
Contact information
FINRA licenses (9 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DUHOVIC, JEROME VICTOR | CEO & PRESIDENT | 2123754 |
| DUHOVIC, JEROME VICTOR | MEMBER & CHAIRMAN OF THE BOARD | 2123754 |
| KING, JAMES RONALD SR | MEMBER & DIRECTOR | 269927 |
| KING, PAUL J | MEMBER & DIRECTOR | |
| KING, WESTLEY HAYES | MEMBER & DIRECTOR | 2527676 |
| LEJMAN, SHERI J | CHIEF FINANCIAL OFFICER, FINOP/PRINCIPAL FINANCIAL OFFICER | 6406038 |
| FEDERATION OF FINANCIAL SERVICES | MEMBER | |
| KING, CHARICE LEE | MEMBER | |
| MCCOMSEY, JOANNA DAWN | CHIEF COMPLIANCE OFFICER, AML OFFICER | 3101022 |
| SIMON, ADAM BRETT | EVP, CHIEF OPERATING OFFICER, PRINCIPAL OPERATIONS OFFICER | 2524249 |
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.
