Edward C. Mooney
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.
Edward Chadwick Mooney, who also goes by Chad Mooney, E. C Mooney, E. Chadwick Mooney, E.chadwick Chadwick Mooney, was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1976. Edward had worked at 23 firms and has passed the Series 65, Series 63, PC 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
January 6, 2012 - July 6, 2012
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 6, 2012 - July 6, 2012
TRANSAMERICA FINANCIAL ADVISORS, LLC
November 23, 2011 - January 6, 2012
INVESTMENT ADVISORS INTERNATIONAL, INC.
November 17, 2011 - January 6, 2012
WORLD GROUP SECURITIES, INC.
January 10, 2011 - April 27, 2011
TORREY PINES SECURITIES, INC.
September 29, 2010 - April 18, 2011
FORTITUDE ADVISORY GROUP L.L.C.
September 29, 2010 - April 18, 2011
ARGENTUS SECURITIES, LLC
September 9, 2009 - December 17, 2009
CANTELLA & CO., INC.
September 4, 2009 - December 17, 2009
CANTELLA & CO., INC.
May 7, 2008 - October 31, 2008
AWM SERVICES, LLC
July 6, 2007 - May 15, 2008
TOUCHPOINT SECURITIES CORP.
February 14, 2007 - August 3, 2010
SOTEIRA CAPITAL, LLC
August 30, 2006 - December 31, 2006
MOONEY CAPITAL ADVISORS, LLC
August 21, 2006 - September 1, 2006
SEABOARD SECURITIES, INC.
February 23, 2005 - April 11, 2006
WELLS FARGO CLEARING SERVICES, LLC
September 21, 2004 - April 11, 2006
WELLS FARGO CLEARING SERVICES, LLC
July 8, 1997 - October 4, 2004
CITIGROUP GLOBAL MARKETS INC.
July 31, 1993 - October 4, 2004
CITIGROUP GLOBAL MARKETS INC.
September 28, 1990 - July 31, 1993
LEHMAN BROTHERS INC.
May 4, 1989 - October 3, 1990
CROWELL, WEEDON & CO.
April 3, 1987 - June 21, 1989
MEYERS SECURITIES CORPORATION
November 22, 1983 - April 27, 1987
MORGAN, OLMSTEAD, KENNEDY & GARDNER INCORPORATED
October 11, 1982 - November 9, 1983
E. F. HUTTON & COMPANY INC
February 2, 1982 - August 26, 1982
PETERSON, DIEHL & COMPANY, INC.
March 18, 1981 - November 5, 1981
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
March 3, 1980 - March 13, 1981
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 8, 1978 - March 1, 1980
BECKER PARIBAS INCORPORATED
September 1, 1976 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
Primary Firm SEC Registration
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
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
PC
Date: 1/28/1991
AMEX Put and Call ExamCurrent Firm
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 42,440 |
| AUM (Assets Under Management) | $ 1,730,669,809 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 3 |
| Bond | 3 |
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.
