Wesley 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.
Wesley Moore, who also goes by Wesley John Moore, was a registered financial professional .
Wesley is a previously registered financial professional and started their career in finance in 1986. Wesley had worked at 10 firms and has passed the Series 66, Series 63, Series 65, Series 6TO, Series 99TO, Series 22TO, Series 82TO, Series 3, Series 7, Series 6, Series 24, Series 27, Series 14, Series 10, Series 9 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 8, 2021 - January 9, 2025
WELLS FARGO SECURITIES, LLC
January 10, 2005 - October 17, 2014
WELLS FARGO SECURITIES, LLC
November 13, 2003 - November 23, 2004
BANC OF AMERICA SECURITIES LLC
October 1, 2000 - September 17, 2003
WELLS FARGO CLEARING SERVICES, LLC
January 11, 2000 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
December 7, 1992 - June 29, 1993
INTERPACIFIC INVESTORS SERVICES, INC.
November 30, 1989 - November 19, 1990
TRANSAMERICA SECURITIES SALES CORPORATION
November 30, 1989 - November 19, 1990
TRANSAMERICA FINANCIAL ADVISORS, INC.
March 18, 1989 - November 14, 1989
CENTURY INVESTORS OF AMERICA, INC.
February 14, 1989 - March 14, 1989
L.M. DREW & ASSOCIATES
December 22, 1986 - June 30, 1988
CAPITAL CLIENT GROUP, 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 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationSeries 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsCurrent Firm
WELLS FARGO SECURITIES, LLC
CRD#: 126292 / SEC#: , 8-65876
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EVEREN CAPITAL CORPORATION | PARENT | |
| CHESTER, KARA MCSHANE | DIRECTOR/MANAGER | 2679854 |
| CONNOR, TIMOTHY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 8157713 |
| MACCHIO, PETER | CHIEF COMPLIANCE OFFICER / DESIGNATED TEXAS OFFICER / DIRECTOR/MANAGER | 2124187 |
| OHARA, TIMOTHY PATRICK | DIRECTOR/MANAGER | 2095368 |
| PETERS, MARY LOU | DIRECTOR/MANAGER/CONTROL PRINCIPAL | 4062788 |
| RILEY, MICHAEL FRANCIS | DIRECTOR/MANAGER | 4165280 |
| RIVAS, FERNANDO S | CHAIR / CEO / PRESIDENT / DIRECTOR/MANAGER | 4803269 |
| SMITH, DANIEL D | CHIEF OPERATIONS OFFICER | 5500659 |
| THOMAS, DANIEL JEROME JR | DIRECTOR/MANAGER |
Disclosures
| Regulatory Event | 158 |
| Civil Event | 1 |
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.
