RM
Robert E. Moore
MAREX CAPITAL MARKETS
Garden City, NY 11530
Some features on this profile are disabled
CRD#: 1040197
RM
Professional summary
Robert Emmett Moore is a registered financial professional currently at MAREX CAPITAL MARKETS INC. located in Garden City, New York.
Robert is registered as a RR (Registered Representative) and started their career in finance in 1992. Robert has worked at 10 firms and has passed the Series 66, Series 63, Series 57TO, Series 79TO, Series 99TO, SIE, Series 87, Series 55, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. CONCEPT PARTNERS LLC, INVESTMENT RELATED, GARDEN CITY NY, HOLDING CO FOR SPINOFF OF CONCEPT CAPITAL BUS, MANAGER, SEP 2009, ZERO HOURS DEVOTED, ZERO HOURS DEVOTED DURING TRADING HOURS.
CRS (Client Relationship Summary) - BD
Click below to view Robert Emmett Moore's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
December 8, 2023 - Present
MAREX CAPITAL MARKETS INC.
Office #1: 1055 Franklin Avenue Suite 304, Garden City, NY 11530Office #2: 3340 Peachtree Road Suite 1880, Atlanta, GA 30305BD
CRD#: 161014
Garden City, NY
Past
August 17, 2021 - August 17, 2023
COWEN PRIME ADVISORS LLC
RIA
CRD#: 315686
NEW YORK, NY
Past
August 3, 2021 - December 15, 2023
COWEN AND COMPANY
BD
CRD#: 7616
NEW YORK, NY
Past
February 28, 2021 - March 14, 2011
COWEN PRIME SERVICES LLC
RIA
CRD#: 153397
NEW YORK, NY
Past
February 15, 2012 - March 14, 2011
COWEN PRIME SERVICES LLC
RIA
CRD#: 153397
NEW YORK, NY
Past
October 3, 2011 - March 14, 2011
COWEN PRIME SERVICES LLC
RIA
CRD#: 153397
NEW YORK, NY
Past
August 5, 2011 - March 14, 2011
COWEN PRIME SERVICES LLC
RIA
CRD#: 153397
NEW YORK, NY
Past
November 1, 2010 - February 10, 2022
COWEN PRIME SERVICES LLC
BD
CRD#: 153397
NEW YORK, NY
Past
December 11, 2008 - June 9, 2011
SANDERS MORRIS LLC
BD
CRD#: 20580
NEW YORK, NY
Past
February 8, 2007 - December 10, 2008
CONSTELLATION WEALTH ADVISORS LLC
BD
CRD#: 142502
NEW YORK, NY
Past
January 20, 2005 - June 17, 2005
NATIONAL FINANCIAL SERVICES LLC
BD
CRD#: 13041
BOSTON, MA
Past
October 16, 1998 - November 29, 1999
NASDAQ EXECUTION SERVICES, LLC
BD
CRD#: 7270
PHILADELPHIA, PA
Past
November 28, 1997 - September 1, 1998
SALOMON BROTHERS INC.
BD
CRD#: 740
NEW YORK, NY
Past
July 15, 1992 - August 13, 2004
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(12/8/2023)
RR
Alaska(12/26/2023)
RR
Arizona(12/8/2023)
RR
Arkansas(12/8/2023)
RR
California(12/8/2023)
RR
Colorado(12/8/2023)
RR
Connecticut(12/8/2023)
RR
Delaware(12/21/2023)
RR
District of Columbia(12/8/2023)
RR
Florida(12/8/2023)
RR
Georgia(12/8/2023)
RR
Hawaii(12/26/2023)
RR
Idaho(12/8/2023)
RR
Illinois(12/8/2023)
RR
Indiana(12/8/2023)
RR
Iowa(12/8/2023)
RR
Kansas(12/8/2023)
RR
Kentucky(12/8/2023)
RR
Louisiana(12/8/2023)
RR
Maine(12/8/2023)
RR
Maryland(12/8/2023)
RR
Massachusetts(12/8/2023)
RR
Michigan(12/8/2023)
RR
Minnesota(12/26/2023)
RR
Mississippi(12/8/2023)
RR
Missouri(12/8/2023)
RR
Montana(12/8/2023)
RR
Nebraska(12/8/2023)
RR
Nevada(12/8/2023)
RR
New Hampshire(12/8/2023)
RR
New Jersey(12/8/2023)
RR
New Mexico(12/8/2023)
RR
New York(12/8/2023)
RR
North Carolina(12/8/2023)
RR
North Dakota(12/8/2023)
RR
Ohio(12/8/2023)
RR
Oklahoma(12/8/2023)
RR
Oregon(12/8/2023)
RR
Pennsylvania(12/8/2023)
RR
Puerto Rico(12/8/2023)
RR
Rhode Island(12/8/2023)
RR
South Carolina(12/8/2023)
RR
South Dakota(12/21/2023)
RR
Tennessee(12/8/2023)
RR
Texas(12/8/2023)
RR
Utah(12/8/2023)
RR
Vermont(12/8/2023)
RR
Virginia(12/8/2023)
RR
Washington(12/8/2023)
RR
West Virginia(12/8/2023)
RR
Wisconsin(12/8/2023)
RR
Wyoming(12/8/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 2/21/2003
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
MC
MAREX CAPITAL MARKETS INC.
E D & F MAN CAPITAL MARKETS INC. | MPS | MAREX CAPITAL MARKETS INC.
CRD#: 161014 / SEC#: , 8-69039
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
140 East 45th Street 10th Floor, New York, NY 10017
Mailing Address
140 East 45th Street 10th Floor, New York, NY 10017
Phone number
(212) 618-2800
Established
New York since 01/10/1952
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MAREX SERVICES INC. | DIRECT OWNER | |
| BATES, CHRISTOPHER | FINOP, CFO, PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 5648556 |
| BERNICKY, JENNIFER KAISER | CHIEF OPERATING OFFICER, DIRECTOR | 4781625 |
| CHERRY, ELIN LYNNE | CHIEF COMPLIANCE OFFICER | 2430837 |
| FALCO, CARMINE DOMENICO | PRINCIPAL OPERATIONS OFFICER | 2782798 |
| HOOD, STEPHEN MICHAEL | DIRECTOR | 3139127 |
| VITTAL, MAHESH RAM | PRES. & CEO, DIRECTOR | 4593014 |
Disclosures
| Regulatory Event | 42 |
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.
