Karla R. Moons

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CRD#: 1228425

Professional summary

Karla Ranger Moons was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Karla is a previously registered financial professional and started their career in finance in 1984. Prior to being barred, Karla had worked at 7 firms, which includes CONCOURSE FINANCIAL GROUP SECURITIES INC., AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC, AMSOUTH INVESTMENT SERVICES INC., UBS FINANCIAL SERVICES INC., J.C. BRADFORD & CO., LEGG MASON WOOD WALKER INCORPORATED, A. G. EDWARDS & SONS INC..

Question & Answer

Are you a "fiduciary"?

Aliases

Karla Dawn Ranger

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.

(dba) PROINVESTMENT SOLUTIONS; Investment Related; 7550 Brockton Ct, Mobile, AL 36695; Registered Rep; Start-01/2007; 200 HPM; Insurance product sales and service.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

July 9, 2013 - August 2, 2022

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

RIA

CRD#: 15708

MOBILE, AL

Past

January 3, 2007 - August 2, 2022

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

MOBILE, AL

Past

August 31, 2005 - November 2, 2006

AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC

RIA

CRD#: 111757

BIRMINGHAM, AL

Past

August 19, 2005 - October 31, 2006

AMSOUTH INVESTMENT SERVICES, INC.

CRD#: 15692

MOBILE, AL

Past

August 30, 2000 - September 2, 2005

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

MOBILE, AL

Past

August 14, 2000 - September 2, 2005

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

February 22, 1999 - August 14, 2000

J.C. BRADFORD & CO.

CRD#: 1287

NEW YORK, NY

Past

January 29, 1999 - February 22, 1999

J.C. BRADFORD & CO.

CRD#: 1287

Past

December 6, 1993 - February 15, 1999

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

BALTIMORE, MD

Past

January 25, 1984 - December 9, 1993

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/3/2013

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/6/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/21/1984

General Securities Representative Examination

Current Firm

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708 / SEC#: 801-56010, 8-32590

Terminated by SEC on 08/24/2025

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Contact information

Main Address

2801 Highway 280 South, Birmingham, AL 35223

Mailing Address

P.o. Box 518, Birmingham, AL 35201-0518

Phone number

(800) 288-3035

Established

Alabama since 07/11/1984

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

885

FINRA licenses (2 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

CONCOURSE FINANCIAL GROUP SECURITIES ADV PART 2 BROCHURE 2024 (3/26/2024)

Direct owners and executive officers

Name	Position	CRD#
PROTECTIVE LIFE CORPORATION	PARENT
MCCRELESS, KEVIN LUCIUS	CHIEF COMPLIANCE OFFICER	5180100

Regulatory assets under management

Total Number of Accounts	20,957
AUM (Assets Under Management)	$ 4,373,015,542

Disclosures

Regulatory Event	64
Arbitration	5

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.

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Firm Stability Insights

Karla R. Moons

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC

AMSOUTH INVESTMENT SERVICES, INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

J.C. BRADFORD & CO.

J.C. BRADFORD & CO.

LEGG MASON WOOD WALKER, INCORPORATED

A. G. EDWARDS & SONS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 7/3/2013

Series 63

Date: 2/6/1984

SIE

Date: 10/1/2018

Series 7

Date: 1/21/1984

Current Firm

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

Contact information

FINRA licenses (2 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

TRUST BUT VERIFY

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