James M. Mosher
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.
James Michael Mosher, who also goes by James M Mosher, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1974. James had worked at 19 firms and has passed the Series 63, Series 7, Series 53, Series 4, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 20, 2005 - July 11, 2006
GONOW SECURITIES, INC.
August 2, 2004 - June 22, 2005
BROKERSXPRESS LLC
April 22, 2003 - July 29, 2004
OPTIONSXPRESS, INC.
February 25, 2000 - May 1, 2001
NEWPORT COAST SECURITIES, INC.
March 29, 1999 - September 30, 1999
STOCK USA, INC.
January 10, 1997 - January 7, 1999
ACUMENT SECURITIES, INC.
October 30, 1995 - March 26, 1996
DAEHAN SECURITIES, INC.
January 23, 1995 - September 13, 1995
KENNEDY, CABOT & CO.
June 14, 1991 - September 10, 1993
EDWARD JONES
June 6, 1990 - November 1, 1990
LONDON PACIFIC SECURITIES, INC.
May 19, 1988 - October 4, 1988
SMITH-THOMAS INVESTMENT SERVICES, INC.
February 27, 1987 - November 25, 1987
INTERFIRST CAPITAL CORPORATION
April 1, 1986 - April 15, 1986
BWS, INC.
July 11, 1985 - April 1, 1986
BIRR, WILSON & CO., INC.
September 27, 1984 - February 19, 1985
NEWHARD, COOK & CO. INCORPORATED
December 7, 1983 - September 14, 1984
PRUDENTIAL EQUITY GROUP, LLC
November 10, 1983 - December 12, 1983
MOSELEY SECURITIES CORPORATION
September 26, 1978 - October 17, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 20, 1974 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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
Series 8
Date: 7/30/1985
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
GONOW SECURITIES, INC.
CRD#: 104020 / SEC#: 802-121582, 8-52483
Contact information
Disclosures
| Regulatory Event | 8 |
| Civil Event | 1 |
Exempt reporting advisers
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| SEC | ERA - Active | 5/24/2021 |
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.
