Katherine A. 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.
Katherine Ann Moore, who also goes by Kat Moore, Katharine Ann Moore, Kathy Moore, was a registered financial advisor .
Katherine is a previously registered financial advisor and started their career in finance in 1985. Katherine had worked at 14 firms and has passed the Series 66, Series 63, Series 55, Series 7, Series 53, Series 28 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
Experience
January 5, 2006 - June 25, 2008
BARRON MOORE ADVISORS, INC.
July 27, 2005 - December 31, 2005
BARRON MOORE ADVISORS, INC.
March 13, 2003 - June 25, 2008
BARRON MOORE, INC.
June 28, 2002 - March 21, 2003
MORGAN SPAULDING, INC.
February 20, 2002 - July 8, 2002
LONE STAR SECURITIES, INC.
February 22, 2001 - February 1, 2002
GEO SECURITIES, INC.
March 19, 1996 - December 20, 1996
ADM SECURITIES, INC.
September 13, 1995 - March 18, 1996
MILKIE/FERGUSON INVESTMENTS, INC.
December 12, 1994 - September 8, 1995
TDI, INCORPORATED
March 15, 1994 - July 26, 1994
GSC SECURITIES, INC.
March 15, 1994 - July 26, 1994
GOVERNMENT SECURITIES CORPORATION
January 22, 1991 - November 2, 1993
HILLTOP SECURITIES INC.
February 21, 1990 - January 23, 1991
WEBER, HALL, SALE & ASSOCIATES, INC.
May 9, 1989 - February 21, 1990
FETTERMAN INVESTMENTS, INC.
September 20, 1988 - April 26, 1989
LLAMA COMPANY
November 13, 1985 - August 1, 1988
HILLTOP SECURITIES INC.
August 20, 1985 - November 29, 1985
WEBER, HALL, SALE & ASSOCIATES, 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
Series 55
Date: 1/18/2005
Limited Representative-Equity Trader ExamSeries 28
Date: 3/11/2002
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent firm
No current employment
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.
