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Current Employers
Oppenheimer & Co. Inc.

85 Broad Street 22Nd Floor, New York, NY 10004 • United States

Current Registrations

AuthorityCategoryStatusDate
GA RA APPROVED 2024-02-22
NY RA APPROVED 2024-02-20
  • GA RA
    APPROVED
    Since 2024-02-22
  • NY RA
    APPROVED
    Since 2024-02-20

Branch Locations

85 Broad Street 23Rd Floor, New York, NY 10004 • United States

Phipps Tower-3438 Peachtree Rd Ne Suite 950, Atlanta, GA 30326 • United States

Atlanta, GA • 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
OrganizationCityStateFromTo
Jefferies Llc Atlanta GA 08/2009 09/2017
Ubs Financial Services Inc. Atlanta GA 12/2017 01/2024
Oppenheimer & Co. Inc. Atlanta GA 02/2024 Present
  • 08/2009 → 09/2017
    Jefferies Llc
    Atlanta, GA
  • 12/2017 → 01/2024
    Ubs Financial Services Inc.
    Atlanta, GA
  • 02/2024 → Present
    Atlanta, GA
Previous Registrations
Other Businesses

NAME/ADDRESS: MOFFETT PROPERTIES LLC. 3020 HENDERSON BAYOU ROAD, LAKE CHARLES, LA 70605. TYPE OF BUSINESS: INVESTMENT RELATED. LIMITED PARTNER(PASSIVE) % OWNERSHIP OF 13.8%.GENERAL PARTNER-JOHN MOFFETT (FATHER). ESTABLISHED: FEBRUARY 2008. HOURS DEVOTED: 0HRS/MONTH. DUTIES: PASSIVE LIMITED PARTNER

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2003-08-22
  • S63 Uniform Securities Agent State Law Examination
    2003-08-22
Other Names
  • David Greeson Moffett
  • Moffett Greeson David Greeson
  • David Moffett

View on SEC IAPD

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