Vicki R. 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.
Vicki Ranee Moore, who also goes by VIcki Ranee Ranee Moore, Vicki Ranee Phillips, was a registered financial professional .
Vicki is a previously registered financial professional and started their career in finance in 1988. Vicki had worked at 7 firms and has passed the Series 63, 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
March 10, 2006 - October 22, 2014
SCOTTRADE, INC.
February 8, 1999 - August 18, 2004
CHARLES SCHWAB & CO., INC.
January 14, 1998 - August 18, 2004
CHARLES SCHWAB & CO., INC.
October 20, 1997 - February 4, 1998
GUARANTY BROKERAGE SERVICES, INC.
April 28, 1995 - October 27, 1997
INBANK INVESTMENTS, INC.
January 4, 1993 - February 11, 1998
MAGNA INVESTMENTS
August 18, 1992 - January 1, 1993
GREAT SOUTHERN INVESTMENTS
December 11, 1991 - August 10, 1992
MAGNA INVESTMENTS
July 16, 1990 - February 13, 1992
GREAT SOUTHERN INVESTMENTS
May 25, 1988 - April 16, 1990
STEPHENS
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
SCOTTRADE, INC.
CRD#: 8206 / SEC#: , 8-24760
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TD AMERITRADE ONLINE HOLDINGS CORP. | OWNER | |
| BOUDROT, SUSAN M | CHIEF COMPLIANCE OFFICER | 2472538 |
| BOYLE, STEPHEN JOHN | CHIEF FINANCIAL OFFICER | 6501238 |
| DESILVA, PETER JAMES | PRESIDENT, DIRECTOR | 1740057 |
| KIMM, DAVID ROBERT | CHIEF RISK OFFICER | 722941 |
| NALLY, THOMAS ANDREW | EVP, INSTITUTIONAL SERVICES | 2479301 |
| QUIRK, STEVEN MARK | SVP, TRADER GROUP | 2728768 |
| RICKETTS, JUDITH K | VP, MD OPERATIONS | 2758924 |
| YATES, WILLIAM THOMAS | TREASURER, FINOP | 2749545 |
Disclosures
| Regulatory Event | 51 |
| Arbitration | 33 |
| Bond | 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.
