Dennis L. 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.
Dennis Lee Moore, who also goes by Denny Moore, was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1987. Dennis had worked at 8 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 7, 2006 - October 21, 2009
SIGNATOR FINANCIAL SERVICES, INC.
May 30, 2002 - August 7, 2006
SIGNATOR FINANCIAL SERVICES, INC.
December 5, 2000 - December 31, 2001
FREEDOM FINANCIAL, INC.
December 3, 1997 - December 5, 2000
1717 CAPITAL MANAGEMENT COMPANY
April 12, 1995 - February 12, 1996
WOODBURY FINANCIAL SERVICES, INC.
June 6, 1994 - July 22, 1994
AMERINATIONAL FINANCIAL SERVICES, INC.
November 23, 1993 - March 5, 1994
FIRST LINCOLN INVESTMENTS, INC.
October 15, 1993 - March 5, 1994
FIRST LINCOLN INVESTMENTS, INC.
March 11, 1992 - October 30, 1993
GWR INVESTMENTS, INC.
August 12, 1991 - March 17, 1992
FIRST LINCOLN INVESTMENTS, INC.
January 7, 1987 - August 15, 1991
WALL STREET OF AMERICA, 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
SIGNATOR FINANCIAL SERVICES, INC.
CRD#: 19061 / SEC#: 801-66750, 8-37112
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JOHN HANCOCK FINANCIAL NETWORK, INC. | PARENT COMPANY | |
| ABERIZK, EMIL JOSEPH JR | DIRECTOR | 1049525 |
| ARMSTRONG, ABIGAIL MARIE | SECRETARY/CLERK & COUNSEL | 1239945 |
| CLARK, JEFFREY STEPHEN | VICE PRESIDENT, DIRECTOR OF FINANCE, FINANCIAL PRINCIPAL | 4974902 |
| HEAPPS, BRIAN BASIL | DIRECTOR | 1666475 |
| HORACK, THOMAS JOSEPH | CHIEF COMPLIANCE OFFICER | 861315 |
| K VD HAGEN, HALINA | DIRECTOR | 6582303 |
| KARMAN, MITCHELL ANDREW | DIRECTOR | 2837307 |
| MARYANOPOLIS, CHRISTOPHER | PRESIDENT | 3041077 |
| REBMAN, JILL DENISE | DIRECTOR | 6520386 |
| RIGATTI, MATTHEW FORREST | DIRECTOR | 2461646 |
| RISPOLI, FRANK JOSEPH | DIRECTOR | 4364402 |
| SUMINSKI, JOHN WILLIAM | DIRECTOR | 6009337 |
| TETA, ANTHONY MAURICE | DIRECTOR | 4617856 |
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.
