Willson C. 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.
Willson Carr Moore III, who also goes by Chip Moore III, Chip Moore, Willson Carr Moore, was a registered financial professional .
Willson is a previously registered financial professional and started their career in finance in 1986. Willson had worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 21, 2019 - August 19, 2021
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
September 6, 2016 - August 19, 2021
JOHN HANCOCK DISTRIBUTORS LLC
June 24, 2005 - May 28, 2015
CHARLES SCHWAB & CO., INC.
September 15, 1998 - January 27, 2004
CHARLES SCHWAB & CO., INC.
October 15, 1993 - February 26, 1998
VOYA FINANCIAL PARTNERS, LLC
August 3, 1992 - October 15, 1993
AETNA LIFE INSURANCE AND ANNUITY COMPANY
April 17, 1990 - July 5, 1991
CRABBE HUSON SECURITIES, INC.
December 5, 1987 - November 14, 1989
NEW ENGLAND SECURITIES
January 3, 1986 - October 17, 1986
N.A. SECURITIES CORPORATION
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
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
CRD#: 28262 / SEC#: , 8-43582
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JOHN HANCOCK INVESTMENT MANAGEMENT LLC | PARENT | |
| BOGLE, JAMES WILLIAM | PRINCIPAL FINANCIAL OFFICER AND FINANCIAL AND OPERATIONS PRINCIPAL | 7344902 |
| DUCKWORTH, JEFFREY OWEN | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2429017 |
| FEINBERG, KRISTIE MARIE | CHAIRMAN | 3162040 |
| HARTIGAN, ROBERT JOSEPH | CHIEF COMPLIANCE OFFICER | 2931786 |
| MCFETRIDGE, ANDREW JOHN | DIRECTOR | 2516238 |
| WALTERS, GINA GOLDYCH | DIRECTOR | 5095838 |
Disclosures
| Regulatory Event | 2 |
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.
