Gibbs R. Moody
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.
Gibbs Randall Moody was a registered financial professional .
Gibbs is a previously registered financial professional and started their career in finance in 1993. Gibbs had worked at 7 firms and has passed the Series 63 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
August 20, 2012 - September 6, 2012
AGECROFT PARTNERS, LLC
August 12, 2004 - January 20, 2012
DAVENPORT & COMPANY LLC
May 23, 2000 - November 2, 2001
BMO CAPITAL MARKETS CORP.
January 1, 1997 - December 10, 1999
UBS SECURITIES LLC
September 13, 1995 - March 27, 1996
GLEACHER & COMPANY SECURITIES, INC.
July 23, 1993 - August 8, 1994
ROBERTSON, STEPHENS & COMPANY LLC
February 22, 1993 - July 20, 1993
PRUDENTIAL EQUITY GROUP, LLC
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
AGECROFT PARTNERS, LLC
CRD#: 139227 / SEC#: , 8-67198
Contact information
FINRA licenses (9 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STEINBRUGGE, DONALD ALLEN | MANAGING MEMBER, CCO | |
| STEINBRUGGE, PIA SEXTEN | PASSIVE MEMBER | |
| RIP, OLGA | FINOP, CFO, PFO, POO | 5440553 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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