Beverly J. 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.
Beverly J Moore, CIMA®, CPWA®, who also goes by Beverly Curtis Johnson, Beverly Johnson Moore, was a registered financial professional .
Beverly is a previously registered financial professional and started their career in finance in 1984. Beverly had worked at 16 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2008-06-10
Expire date: 2023-01-31
Experience
August 16, 2017 - December 4, 2017
PERSHING LLC
January 19, 2016 - March 27, 2017
GOLDMAN SACHS CUSTODY SOLUTIONS
October 2, 2013 - October 30, 2015
ARROW INVESTMENT ADVISORS, LLC
June 20, 2013 - October 26, 2015
ARCHER DISTRIBUTORS, LLC
May 11, 2011 - May 31, 2013
REGENTATLANTIC
February 19, 2009 - February 9, 2010
GLOBAL PORTFOLIO STRATEGIES, INC.
February 17, 2009 - February 9, 2010
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
June 29, 2007 - July 8, 2008
BEAR STEARNS ASSET MANAGEMENT INC.
June 29, 2007 - July 8, 2008
J.P. MORGAN SECURITIES LLC
December 15, 2005 - October 19, 2006
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
March 4, 2002 - October 19, 2006
NYLIFE DISTRIBUTORS LLC
May 22, 2000 - September 1, 2000
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
April 21, 1993 - May 7, 1999
PERSHING LLC
June 21, 1990 - April 5, 1993
ALLIANCEBERNSTEIN INVESTMENTS, INC.
February 5, 1988 - March 24, 1990
PRUDENTIAL EQUITY GROUP, LLC
July 1, 1986 - July 17, 1987
FIRST AMERIGROUP SECURITIES, INC.
July 16, 1985 - May 13, 1986
L.D. MOORE & CO, INC.
July 26, 1984 - August 21, 1985
LEHMAN BROTHERS INC.
April 12, 1984 - June 29, 1984
FIRST AMERIGROUP SECURITIES, INC.
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
Current Firm
PERSHING LLC
CRD#: 7560 / SEC#: , 8-17574
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PERSHING GROUP LLC | HOLDING COMPANY | |
| BADGER, ERIC CHRISTOPHER | BOARD MEMBER | 8040351 |
| CROWLEY, JAMES THOMAS | CHIEF EXECUTIVE OFFICER (CEO), GLOBAL HEAD, BOARD MEMBER | 1087182 |
| DAVID, ERIC CIMARRON | BOARD MEMBER, PRINCIPAL OPERATIONS OFFICER, CHIEF OPERATIONS OFFICER | 3132045 |
| KEARNEY, JAMES FRANCIS III | BOARD MEMBER | 6388373 |
| LOFLING, JASON ROBERT | BOARD MEMBER, CHIEF FINANCIAL OFFICER (CFO), PRINCIPAL FINANCIAL OFFICER (PFO) | 5177277 |
| MAJIYAGBE, ELIZABETH OLAIDE | BOARD MEMBER | 7013772 |
| O'LAUGHLEN, VICTOR FRANCIS JR | BOARD MEMBER | 8041737 |
| SIMMONDS, AINSLIE JANE | BOARD MEMBER | 6047968 |
| VITALE, JASON DOMINICK | BOARD MEMBER | 8038160 |
| YOUNG, LYNN MARIE | CHIEF COMPLIANCE OFFICER | 1982726 |
Disclosures
| Regulatory Event | 74 |
| Arbitration | 32 |
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.
