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Eugene E. Vonmosch

Some features on this profile are disabled
CRD#: 706994
EV

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.

Eugene Edward Vonmosch was a registered financial professional .

Eugene is a previously registered financial professional and started their career in finance in 1980. Eugene had worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 1 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

June 29, 2006 - January 12, 2015

SYMPHONIC SECURITIES LLC

BD
CRD#: 139512
DULUTH, MN
Past

February 6, 2006 - March 12, 2015

SYMPHONIC FINANCIAL ADVISORS LLC

RIA
CRD#: 135603
DULUTH, MN
Past

February 6, 2006 - December 31, 2007

CNR SECURITIES, LLC

BD
CRD#: 18466
DULUTH, MN
Past

September 18, 2000 - February 10, 2006

WADDELL & REED

RIA
CRD#: 866
DULUTH, MN
Past

April 10, 1980 - February 10, 2006

WADDELL & REED

BD
CRD#: 866
OVERLAND PARK, KS

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 4/23/1980
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 1/12/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/18/1985
General Securities Representative Examination
General Industry/Product Exam
RR
Series 1
Date: 4/3/1980
Registered Representative Examination

Current Firm

SS
SYMPHONIC SECURITIES LLC
SYMPHONIC SECURITIES LLC

CRD#: 139512 / SEC#: , 8-67220

BD
Terminated by SEC on 07/08/2024
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 05/02/2005
Firm type
Limited Liability Company
Fiscal year end
October
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
CITY NATIONAL ROCHDALE HOLDINGS, INC.MANAGING MEMBER/100% OWNER
BARTON, RICHARD JOSEPHCHIEF COMPLIANCE OFFICER2040869
CEPLER, MITCHELL DANIELCFO AND FINOP4554270
GIAQUINTO, GREGG ROBERTMANAGING DIRECTOR, CLIENT SERVICES & OPERATIONS3182583

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.

Company Information

SYMPHONIC SECURITIES LLC

CRD#: 139512

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