Inactive

Christopher James Moshy

Foster City, CA

Claim This Profile

Current Employers

Bailard, Inc.

950 Tower Ln Ste 1900, Foster City, CA 94404-2131 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2015-05-01

CA RA
APPROVED

Since 2015-05-01

Branch Locations

950 Tower Ln Ste 1900, Foster City, CA 94404-2131 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Bailard, Inc.	Foster City	CA	04/2015	Present

04/2015 → Present

Bailard, Inc.

Foster City, CA

Previous Registrations

2002-09-16 → 2015-04-13

Primary Funds, Llc

San Rafael, CA

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2016-06-22
S65	Uniform Investment Adviser Law Examination	2002-09-06

S63 Uniform Securities Agent State Law Examination

2016-06-22
S65 Uniform Investment Adviser Law Examination

2002-09-06

View on SEC IAPD

Other Firms

CITIGROUP GLOBAL MARKETS INC.

U.S. BANCORP ADVISORS, LLC

J.P. MORGAN SECURITIES LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

WELLS FARGO CLEARING SERVICES, LLC

SEMPERVIRENS VENTURES LLC

Other Investors

Ronald Timothy Clement

Mohammad Safariannematabad

Other Offices

CITIGROUP GLOBAL MARKETS INC. · Foster City, CA

U.S. BANCORP ADVISORS, LLC · Foster City, CA

J.P. MORGAN SECURITIES LLC · SAN MATEO, CA

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · FOSTER CITY, CA

SUMMITRY, LLC · FOSTER CITY, CA

J.P. MORGAN SECURITIES LLC · FOSTER CITY, CA

WELLS FARGO CLEARING SERVICES, LLC · FOSTER CITY, CA

CELESTA · SAN MATEO, CA

More in Foster City, CA

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