Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Mooney is a financial professional with over 18 years of experience in the financial services industry. James is currently registered with GT Securities, Inc., a firm that provides investment banking and brokerage services. James is a Series 7, Series 24, Series 27, and Series 63 licensed professional and has a SIE designation. James was previously affiliated with East West Markets, LLC, Starlight Investments, LLC, and Petro Capital Securities, LLC. James is a resident of Los Angeles, California.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
1
2
CA
06/10/2020 - Present
GT Securities, Inc. (LOS ANGELES CA)
TX
05/29/2008 - 03/16/2020
EAST WEST MARKETS, LLC (DALLAS TX)
TX
08/01/2006 - 06/10/2008
STARLIGHT INVESTMENTS, LLC (DALLAS TX)
TX
07/22/2005 - 07/10/2006
PETRO CAPITAL SECURITIES, LLC (DALLAS TX)
TX
04/13/1999 - 04/19/2001
ENERGY SPECTRUM ADVISORS INC. (DALLAS TX)
BC
Issued 08/04/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 14 - Compliance Officer Examination
BC
Issued 11/05/2007
Series 27 - Financial and Operations Principal Examination
BC
Issued 08/11/2007
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/21/2005
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
Not sure James Mooney is the right advisor for you? Invested Better is here to help.
