Scott 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.
Scott Aubrey Moore was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1986. Scott had worked at 9 firms and has passed the Series 63, SIE, Series 3 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
December 17, 2014 - January 10, 2020
AON SECURITIES LLC
August 6, 2012 - February 13, 2014
BA SECURITIES, LLC
December 7, 2010 - March 15, 2012
GUGGENHEIM INVESTOR SERVICES, LLC
September 13, 2005 - April 2, 2009
UBS ASSET MANAGEMENT (US) INC.
December 22, 2000 - June 13, 2005
STERLING CAPITAL DISTRIBUTORS, LLC
February 28, 2000 - December 31, 2000
FORESIDE FUNDS DISTRIBUTORS LLC
October 23, 1996 - April 13, 1998
ABN AMRO INCORPORATED
January 1, 1996 - October 15, 1996
BANC ONE CAPITAL MARKETS, INC.
April 25, 1986 - August 22, 1995
WILLIAM BLAIR
Primary Firm SEC Registration
AON SECURITIES LLC
CRD#: 4138 / SEC#: 801-106546, 8-14953
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
AON SECURITIES LLC
CRD#: 4138 / SEC#: 801-106546, 8-14953
Contact information
SEC notice filing (1 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AON GROUP, INC. | SHAREHOLDER | |
| AS HOLDINGS, INC. | SHAREHOLDER | |
| CHAMBLEY, JEFFREY TODD | DIRECTOR | 3129456 |
| DELANEY, WILLIAM LEO JR | DIRECTOR (01/1999)/PRESIDENT (06/2000)/GENERAL SECURITIES PRINCIPAL (01/2001) | 1997937 |
| EHRHART, BRYON GERARD | DIRECTOR (05/2002) | 2932770 |
| MACKUNIS, KENNETH JAMES | DIRECTOR | 2612504 |
| MONAGHAN, KATHLEEN NICOLE | DIRECTOR | 6833059 |
| MORRIS, GREGORY PAUL | CHIEF COMPLIANCE OFFICER | 1317320 |
| PASALICH, MAGDALINE GARRIS | DIRECTOR, CFO, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 7143931 |
| PENNAY, RICHARD ERIK CHARLES | CEO (10/2024), DIRECTOR | 5475857 |
| WARD, BRYAN RICHARD | DIRECTOR | 3107835 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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