Luis S. Moscoso
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.
Luis Saul Moscoso SR, who also goes by Luis Saul Moscoso, was a registered financial professional .
Luis is a previously registered financial professional and started their career in finance in 1987. Luis had worked at 6 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
June 10, 1999 - November 6, 2002
LEGACY FINANCIAL SERVICES, INC.
June 26, 1997 - May 27, 1999
NATIONWIDE FUND DISTRIBUTORS LLC
June 1, 1996 - May 9, 1997
WALNUT STREET SECURITIES, INC.
February 6, 1995 - June 1, 1996
NORTH AMERICAN MANAGEMENT, INC.
October 21, 1991 - July 24, 1993
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
November 16, 1987 - December 13, 1989
AMERICAN GENERAL SECURITIES INCORPORATED
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
LEGACY FINANCIAL SERVICES, INC.
CRD#: 38697 / SEC#: , 8-48360
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
| Civil Event | 1 |
| Arbitration | 3 |
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.
