Modesto Moya
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.
Modesto Moya, who also goes by Moe Moya, was a registered financial professional .
Modesto is a previously registered financial professional and started their career in finance in 1984. Modesto had worked at 5 firms and has passed the Series 99TO, SIE, Series 15, Series 7, Series 9, Series 10, Series 14, Series 8 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 19, 2007 - November 17, 2016
FIRST CLEARING, LLC
July 19, 2007 - January 26, 2024
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
August 31, 2006 - January 26, 2024
WELLS FARGO CLEARING SERVICES, LLC
September 19, 1989 - July 19, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 1, 1989 - September 15, 1989
JSC SECURITIES, INC.
May 22, 1984 - December 21, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 15
Date: 10/29/1987
Foreign Currency Options ExaminationSeries 8
Date: 3/31/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FIRST CLEARING, LLC
CRD#: 17344 / SEC#: , 8-35158
Contact information
Documents
Disclosures
| Regulatory Event | 34 |
| Arbitration | 2 |
Red Flags
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