Kevin J. Moser
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.
Kevin Joseph Moser, who also goes by Kevin J Moser, Kevin Jo Moser, was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1979. Kevin had worked at 11 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 29, 2015 - May 28, 2015
NATALLIANCE SECURITIES, LLC
May 6, 2013 - September 5, 2013
MAREX CAPITAL MARKETS INC.
June 1, 2012 - July 19, 2012
TULLETT PREBON FINANCIAL SERVICES LLC
August 14, 2007 - June 1, 2012
CHAPDELAINE TULLETT PREBON, LLC
December 9, 2004 - August 13, 2007
B. RILEY WEALTH MANAGEMENT
July 24, 2002 - December 3, 2004
CHAPDELAINE CORPORATE SECURITIES & CO
July 3, 2000 - May 2, 2002
NEWEDGE USA, LLC
June 20, 1997 - December 15, 1999
PRUDENTIAL EQUITY GROUP, LLC
February 9, 1988 - November 7, 1997
UBS SECURITIES LLC
March 30, 1984 - February 19, 1985
SANWA UNIVERSAL SECURITIES CO., LLC
February 1, 1979 - September 21, 1984
E. F. HUTTON & COMPANY 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
Current Firm
NATALLIANCE SECURITIES, LLC
CRD#: 39455 / SEC#: , 8-48723
Contact information
FINRA licenses (46 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATALLIANCE HOLDING COMPANY LLC | OWNER | |
| ADAMS, JASON | BOARD MEMBER | 2690575 |
| BRENNER, ANDREW SCOTT | BOARD MEMBER | 1227535 |
| BUSH, FRED COSTON | CFO/COO | 3075024 |
| CARREON, MICHELLE ELLIS | CCO | 4861485 |
| GIORDANO, MICHAEL JAMES | BOARD MEMBER | 5942248 |
| HENDRICKSON, GEORGE ALEXANDER BROWN | BOARD MEMBER | 2382347 |
| LIEPMAN, JOHN FRANCIS | BOARD MEMBER | 2037298 |
| LOERCH, SAMUEL JAMES | BOARD MEMBER | 1195328 |
| SALTER, MARK MYLES | BOARD MEMBER/CEO/PRESIDENT | 1180139 |
| TAYLOR, BRADFORD STEPHEN | BOARD MEMBER | 5751455 |
Disclosures
| Regulatory Event | 8 |
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.
