Paul M. De Moor
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.
Paul Miguel De Moor, who also goes by Paul M De Moor, Paul Miguel Demoor, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1987. Paul had worked at 7 firms and has passed the Series 63, Series 7TO, SIE 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 10, 2010 - July 9, 2021
FIDELITY DISTRIBUTORS COMPANY LLC
January 5, 2009 - August 20, 2009
PYRAMIS DISTRIBUTORS CORPORATION LLC
September 27, 2006 - January 30, 2009
FIDELITY DISTRIBUTORS COMPANY LLC
March 4, 1992 - March 12, 1999
DEAM INVESTOR SERVICES, INC.
February 28, 1990 - May 4, 1990
SOUTH RICHMOND SECURITIES, INC.
February 13, 1990 - April 3, 1990
VANDERBILT SECURITIES, INC.
May 20, 1988 - February 15, 1990
J. T. MORAN & CO., INC.
March 24, 1987 - May 23, 1988
SHERWOOD CAPITAL, 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 7TO
Date: 4/10/2024
General Securities Representative ExaminationCurrent Firm
FIDELITY DISTRIBUTORS COMPANY LLC
CRD#: 17507 / SEC#: , 8-35097
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | STOCKHOLDER | |
| ACKERMAN, CHARLES ALLAN | DIRECTOR | 2168517 |
| ADAMS, ROBERT | COO | 1291582 |
| GUSTAFSON, DALTON | PRESIDENT/DIRECTOR | 2439305 |
| HAGGERTY, MARK A | EXECUTIVE VICE PRESIDENT/DIRECTOR | 4347837 |
| KAVANAUGH, NATALIE ANN | CHIEF LEGAL OFFICER | |
| MCGINTY, JOHN JR. | CHIEF COMPLIANCE OFFICER | 5560420 |
| RHODES, NOAH BUTLER | CHIEF FINANCIAL OFFICER | 6546392 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 17 |
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.
