Arthur M. Moody
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Arthur Monroe Moody III, who also goes by Terry Moody, was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 1983. Arthur had worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 27, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 11, 2015 - May 16, 2017
NEWCASTLE DISTRIBUTORS LLC
April 25, 2005 - May 2, 2017
WRIGHT INVESTORS' SERVICE DISTRIBUTORS, INC.
May 21, 1985 - July 29, 2003
WRIGHT INVESTORS' SERVICE DISTRIBUTORS, INC.
January 19, 1983 - September 13, 1988
PURCELL GRAHAM INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
NEWCASTLE DISTRIBUTORS LLC
CRD#: 140096 / SEC#: , 8-67277
Contact information
Documents
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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