Charles A. Moore
Professional summary
Charles Alexander Moore, who also goes by Alex Moore, is a registered financial professional currently at LOOP CAPITAL MARKETS LLC located in New York, New York.
Charles is registered as a RR (Registered Representative) and started their career in finance in 1984. Charles has worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 52 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Charles Alexander Moore's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 5, 2008 - Present
LOOP CAPITAL MARKETS LLC
Office #1: 88 Pine Street 25th Floor, New York, NY 10005May 1, 2001 - June 20, 2008
J.P. MORGAN SECURITIES INC.
April 8, 1999 - May 1, 2001
JPMSI
February 19, 1997 - February 26, 1999
JPMSI
February 17, 1987 - January 28, 1997
LEHMAN BROTHERS INC.
May 22, 1984 - February 10, 1987
CITIGROUP GLOBAL MARKETS 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
(8/5/2008)
(8/20/2020)
Exams
FINRA
Current Firm
LOOP CAPITAL MARKETS LLC
CRD#: 43098 / SEC#: , 8-50140
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 8 |
Red Flags
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