Unclaimed Profile

Michael Jeremiah Mooney

LIVINGSTON GROUP ASSET MANAGEMENT COMPANY·CHATTANOOGA, Tennessee

Series 7, Series 6619 years registeredLIVINGSTON GROUP ASSET MANAGEMENT COMPANY

100 W. MLK BLVD. SUITE 300, CHATTANOOGA, TN 37402-2936CRD# 4037101Firm CRD# 113364

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Michael Jeremiah Mooney · CHATTANOOGA, TN

Registration

CRD #4037101 · LIVINGSTON GROUP ASSET MANAGEMENT COMPANY · 19 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: LIVINGSTON GROUP ASSET MANAGEMENT COMPANY

SOUTHPORT CAPITAL

Oct 2010 – Aug 2021

MT. AIRY, NC

OPPENHEIMER & CO. INC.

Mar 2007 – May 2010

ATLANTA, GA

Registrations & Exams

FINRA examinations passed

Series 7

Series 66

Registration record

First registered · March 9, 2007

Years registered · 19

Disclosure History

2025Customer Dispute·Settled

2024Customer Dispute·Settled

2024Regulatory·Final

2023Customer Dispute·Settled

2022Civil·Final

2022Customer Dispute·Settled

2021Customer Dispute·Award / Judgment

2021Customer Dispute·Settled

2021Customer Dispute·Withdrawn

2021Employment Separation After Allegations

2021Investigation

55 disclosure events on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD. Resolutions may have changed since.

Firm Overview

Firm

LIVINGSTON GROUP ASSET MANAGEMENT COMPANY

CRD 113364 · SEC 801-60356

AUM

$730M

Regulatory assets under management

Employees

3,003 client accounts

Services offered by LIVINGSTON GROUP ASSET MANAGEMENT COMPANY

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Security ratings or pricing services

Charitable organization or education services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

Nonprofits & Foundations

View all advisors at LIVINGSTON GROUP ASSET MANAGEMENT COMPANY →

Introduction

Speak with Michael

No cost, no commitment — we'll confirm availability and reply within 2 business days.

Not sure if Michael is the right fit? Take our 2-minute quiz →

Looking for a financial advisor in CHATTANOOGA?

Browse all registered financial advisors in CHATTANOOGA, Tennessee or claim this profile if it's yours.

Browse CHATTANOOGA Advisors Are you this advisor? Claim profile

Frequently Asked Questions

What services does Michael Jeremiah Mooney offer?

Michael Jeremiah Mooney specializes in Financial Planning, Investment Management, Wealth Management.

What are Michael Jeremiah Mooney's credentials?

Michael Jeremiah Mooney is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Michael Jeremiah Mooney located?

Michael Jeremiah Mooney is based in CHATTANOOGA, Tennessee, last registered with LIVINGSTON GROUP ASSET MANAGEMENT COMPANY.

How does Michael Jeremiah Mooney charge for services?

Michael Jeremiah Mooney's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is LIVINGSTON GROUP ASSET MANAGEMENT COMPANY?

LIVINGSTON GROUP ASSET MANAGEMENT COMPANY has approximately 19 employees and manages $730M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

Not sure what to look for in an advisor?

Try our free Advisor Match Quiz →