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RM

Richard M. Moreno

APOLLO GLOBAL SECURITIES
El Segundo, CA 90245
Some features on this profile are disabled
CRD#: 1340816
RM

Professional summary

Richard Michael Moreno is a registered financial professional currently at APOLLO GLOBAL SECURITIES, LLC located in El Segundo, California and ATHENE SECURITIES, LLC located in West Des Moines, Iowa.

Richard is registered as a RR (Registered Representative) and started their career in finance in 1985. Richard has worked at 8 firms and has passed the Series 63, Series 65 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Richard Michael Moreno's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

October 31, 2023 - Present

APOLLO GLOBAL SECURITIES, LLC

Office #1: 2121 Rosecrans Avenue Suite 5300, El Segundo, CA 90245
BD
CRD#: 153502
El Segundo, CA
Current

December 6, 2024 - Present

ATHENE SECURITIES, LLC

Office #1: 7700 Mills Civic Parkway, West Des Moines, IA 50266
BD
CRD#: 36867
West Des Moines, IA
Past

February 9, 2012 - February 14, 2014

KKR CAPITAL MARKETS LLC

BD
CRD#: 143571
SAN FRANCISCO, CA
Past

April 9, 2003 - February 2, 2012

BLACKROCK FINANCIAL MANAGEMENT, INC

RIA
CRD#: 107105
SAN FRANCISCO, CA
Past

April 10, 2002 - February 2, 2012

BLACKROCK INVESTMENTS, LLC

BD
CRD#: 38642
NEW YORK, NY
Past

July 7, 1999 - March 27, 2002

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

September 1, 1998 - June 30, 1999

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

November 16, 1991 - September 1, 1998

SALOMON BROTHERS INC.

BD
CRD#: 740
NEW YORK, NY
Past

February 21, 1985 - March 1, 1990

SALOMON BROTHERS INC.

BD
CRD#: 740
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alaska
(1/2/2025)
RR
Arizona
(12/21/2023)
RR
California
(12/18/2023)
RR
Colorado
(12/18/2023)
RR
Hawaii
(12/19/2023)
RR
Idaho
(12/18/2023)
RR
Iowa
(12/12/2024)
RR
Kansas
(12/23/2024)
RR
Minnesota
(12/20/2024)
RR
Missouri
(12/9/2024)
RR
Montana
(12/19/2023)
RR
Nebraska
(12/9/2024)
RR
Nevada
(12/19/2023)
RR
New Mexico
(12/19/2023)
RR
New York
(12/20/2023)
RR
North Dakota
(12/23/2024)
RR
Oklahoma
(12/23/2024)
RR
Oregon
(12/22/2023)
RR
South Dakota
(1/2/2025)
RR
Texas
(12/6/2024)
RR
Utah
(12/18/2023)
RR
Washington
(12/18/2023)
RR
Wyoming
(12/19/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 10/12/2023
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 4/1/2003
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 7
Date: 2/16/1985
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AS
ATHENE SECURITIES, LLC
ATHENE SECURITIES IOWA, LLC | IL SECURITIES, LLC | IL SECURITIES, INC. | IL SECURITIES LLC | AVIVA SECURITIES, LLC | ATLAS SP SECURITIES | ATHENE SECURITIES, LLC

CRD#: 36867 / SEC#: , 8-47499

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
7700 Mills Civic Parkway, West Des Moines, IA 50266
Mailing Address
7700 Mills Civic Parkway, West Des Moines, IA 50266
Phone number
(515) 342-4616
Established
Indiana since 04/21/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ATHENE USA CORPORATIONATHENE SECURITIES, LLC
BATTERSON, CHAD MPRESIDENT, COO, FINOP4880009
BURTON, SHEILA SUECHIEF COMPLIANCE OFFICER
GEYELIN, ANTONY LAUSSAT IIIVICE PRESIDENT4605388
HUNT, ANGELA JEANCOMPLIANCE OFFICER7192588

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.

Company Information

ATHENE SECURITIES, LLC

CRD#: 36867El Segundo, CA 90245

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