Mark W. 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.
Mark Wendell Moore SR, who also goes by Mark Wendell Moore, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1987. Mark had worked at 9 firms and has passed the Series 63, SIE, Series 55 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
April 1, 2016 - August 23, 2017
SEAPORT GLOBAL SECURITIES LLC
July 27, 2001 - September 16, 2014
TRUIST SECURITIES, INC.
November 1, 2000 - July 27, 2001
THE ROBINSON-HUMPHREY COMPANY, LLC
September 3, 1998 - September 20, 2000
UBS FINANCIAL SERVICES INC.
June 10, 1997 - February 2, 1998
NATWEST SECURITIES CORPORATION
June 17, 1996 - June 4, 1997
DB ALEX. BROWN LLC
March 9, 1994 - May 15, 1996
PRUDENTIAL EQUITY GROUP, LLC
October 30, 1992 - February 1, 1994
TUCKER ANTHONY INCORPORATED
July 21, 1987 - March 11, 1989
CANACCORD GENUITY LLC
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 55
Date: 2/10/2007
Limited Representative-Equity Trader ExamCurrent Firm
SEAPORT GLOBAL SECURITIES LLC
CRD#: 116270 / SEC#: , 8-53535
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 3 |
Red Flags
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