Charles L. Moore
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.
Charles Leonard Moore was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1983. Charles had worked at 4 firms and has passed the Series 65, Series 63, Series 22TO, Series 72, Series 79TO, Series 62, Series 82TO, Series 99TO, Series 52TO, Series 42, Series 6TO, SIE, Series 31, Series 7, Series 26, Series 39, Series 28, Series 24 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 26, 2017 - January 2, 2024
MARCH CAPITAL CORP.
September 17, 2013 - February 28, 2017
CFA FINANCIAL LLC
January 4, 2005 - March 7, 2023
COLERIDGE, FROST & ASSOCIATES, INC.
April 13, 1992 - September 3, 2013
MARCH CAPITAL CORP.
April 19, 1983 - April 19, 1990
MORGAN STANLEY & CO. LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationSeries 72
Date: 1/2/2023
Government Securities Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 62
Date: 1/2/2023
Corporate Securities Limited Representative ExaminationSeries 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 42
Date: 1/2/2023
Registered Options Representative ExaminationSeries 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 28
Date: 10/3/2014
Introducing Broker/Dealer Financial Operations Principal ExaminationSeries 12
Date: 5/21/1983
NYSE Branch Manager ExaminationCurrent Firm
MARCH CAPITAL CORP.
CRD#: 24142 / SEC#: , 8-41173
Contact information
FINRA licenses (24 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RICE, RICHARD JAY | PRESIDENT AND CHIEF COMPLIANCE OFFICER | 725697 |
Regulatory assets under management
| Total Number of Accounts | 3 |
| AUM (Assets Under Management) | $ 83,479,520 |
Red Flags
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