Jerald E. 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.
Jerald Edward Moore, who also goes by Moore, was a registered financial professional .
Jerald is a previously registered financial professional and started their career in finance in 1988. Jerald had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 30, Series 4 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 1, 2006 - October 28, 2025
INTERACTIVE BROKERS LLC
May 14, 2003 - March 31, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
May 12, 2003 - March 31, 2004
IDS LIFE INSURANCE COMPANY
May 12, 2003 - March 31, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
April 25, 2000 - May 15, 2001
BROWNCO, LLC
September 18, 1996 - March 10, 2000
TD AMERITRADE, INC.
June 10, 1994 - October 5, 1994
SECURITIES AMERICA, INC.
March 26, 1990 - April 12, 1990
H.J. MEYERS & CO., INC.
March 13, 1989 - May 4, 1989
TAMARON INVESTMENTS, INC.
June 2, 1988 - November 21, 1988
POWER SECURITIES CORPORATION
February 1, 1988 - June 8, 1988
ALLIED CAPITAL 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 8
Date: 9/12/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
INTERACTIVE BROKERS LLC
CRD#: 36418 / SEC#: , 8-47257
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| IBG LLC | MANAGING MEMBER | |
| BRODY, PAUL JONATHAN | SECRETARY, PRINCIPAL OPERATIONS OFFICER | 1722066 |
| CHAIT, JONATHAN | EXECUTIVE VICE PRESIDENT, COO | 4582696 |
| FRIEDLAND, DAVID ERIC | MANAGING DIRECTOR-ASIAN OPERATIONS | 2715164 |
| GALIK, MILAN | CHIEF EXECUTIVE OFFICER | 2204066 |
| GELMAN, JONATHAN MICHAEL | CHIEF COMPLIANCE OFFICER | 5440103 |
| MANDELBAUM, ELAINE | GENERAL COUNSEL | 2957713 |
| MENICUCCI, JAMES | PRINCIPAL FINANCIAL OFFICER | 6590173 |
| SANDERS, STEVEN JAY | SENIOR VICE PRESIDENT, MARKETING AND PRODUCT DEVELOPMENT | 2812548 |
| SHAO-CHEN, KENGNING | TREASURER | 5910386 |
Disclosures
| Regulatory Event | 93 |
| Arbitration | 26 |
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.
