Robin S. Moser
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.
Robin Sweesy Moser, who also goes by Robin Sweensy Moser, Robin Russell, Robin Sweesy, was a registered financial professional .
Robin is a previously registered financial professional and started their career in finance in 1985. Robin had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 53, Series 4, Series 27 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
August 10, 2012 - October 24, 2019
VANGUARD MARKETING CORPORATION
January 6, 2010 - August 6, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - August 6, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 7, 2004 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 18, 2004 - September 30, 2004
R.M. STARK & CO., INC.
April 19, 2002 - August 12, 2002
NATIONWIDE SECURITIES, LLC
March 22, 2000 - August 13, 2001
JBS LIBERTY SECURITIES, INC.
July 27, 1998 - March 27, 2000
IFMG SECURITIES, INC.
January 3, 1998 - March 21, 2000
SOUTHTRUST SECURITIES, LLC
August 15, 1994 - October 29, 1997
BB&T INVESTMENT SERVICES OF SOUTH CAROLINA, INC.
September 22, 1993 - October 14, 1997
BB&T INVESTMENT SERVICES, INC.
January 5, 1993 - July 1, 1993
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION
August 9, 1988 - December 31, 1990
WALNUT STREET SECURITIES, INC.
August 8, 1986 - October 18, 1986
E. F. HUTTON & COMPANY INC
September 25, 1985 - July 28, 1986
LEHMAN BROTHERS 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
Current Firm
VANGUARD MARKETING CORPORATION
CRD#: 7452 / SEC#: , 8-21570
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE VANGUARD GROUP, INC. | PARENT COMPANY | |
| BENCHENER, MATTHEW JOHN | CHAIRMAN, PRESIDENT, DIRECTOR, CEO-DESIGNEE | 5569805 |
| BENDL, JOHN WESLEY | DIRECTOR, SENIOR VICE PRESIDENT | 6931980 |
| BISORDI, JOHN | DIRECTOR, VICE PRESIDENT, GENERAL COUNSEL | 7526828 |
| BOATENG, AMMA ACHEAMPOMAA | DIRECTOR, SENIOR VICE PRESIDENT | 4677078 |
| BRANCATO, MATTHEW CLARK | DIRECTOR, VICE PRESIDENT | 6220380 |
| JAMES, JOHN MARK | DIRECTOR, SENIOR VICE PRESIDENT | 5594356 |
| PANTALONE, SALVATORE L JR | PRINCIPAL FINANCIAL OFFICER | 2887373 |
| PETTY, DAVID | VICE PRESIDENT | 5684895 |
| STEWART, MARC CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2688699 |
| TRETTER, MATTHEW ANTHONY | PRINCIPAL OPERATIONS OFFICER | 5956530 |
Disclosures
| Regulatory Event | 48 |
| Arbitration | 8 |
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.
