John K. Moy
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.
John Kirkland Moy, CIMA® was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1978. John had worked at 17 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 12, 2019 - July 10, 2026
NFSG CORPORATION
June 7, 2019 - July 10, 2026
NEWBRIDGE SECURITIES CORPORATION
May 3, 2019 - June 6, 2019
INTERNATIONAL ASSETS ADVISORY, LLC
April 13, 2018 - April 29, 2019
B. RILEY WEALTH ADVISORS, INC.
March 15, 2018 - April 29, 2019
NATIONAL SECURITIES CORPORATION
August 11, 2017 - March 29, 2018
MORGAN STANLEY
August 11, 2017 - March 29, 2018
MORGAN STANLEY
September 16, 2005 - August 15, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 16, 2005 - August 15, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 1, 2003 - September 19, 2005
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - September 19, 2005
WELLS FARGO CLEARING SERVICES, LLC
June 5, 1998 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
May 31, 1998 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
March 8, 1991 - June 10, 1998
MORGAN STANLEY DW INC.
April 11, 1988 - April 1, 1991
LEHMAN BROTHERS INC.
February 28, 1986 - April 11, 1988
E. F. HUTTON & COMPANY INC
November 6, 1984 - February 24, 1986
KUHNS BROTHERS & LAIDLAW, INC.
May 11, 1984 - October 26, 1984
UBS FINANCIAL SERVICES INC.
November 25, 1981 - May 30, 1984
PRUDENTIAL EQUITY GROUP, LLC
November 24, 1980 - December 10, 1981
FIRST UNION CAPITAL MARKETS CORP.
March 13, 1979 - December 7, 1980
BROKERS EXCHANGE, INC.
February 1, 1978 - December 7, 1980
SALKIN, WELCH & CO., INCORPORATED
Primary Firm SEC Registration
NFSG CORPORATION
CRD#: 130814 / SEC#: 801-68448
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
NFSG CORPORATION
CRD#: 130814 / SEC#: 801-68448
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,607 |
| AUM (Assets Under Management) | $ 1,082,643,515 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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