Deborah F. Morones
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.
Deborah Faye Morones, who also goes by Deborah F Goulette, Deborah Faye Goulette, Deborah F Morones, Deborah Faye Sackett, was a registered financial professional .
Deborah is a previously registered financial professional and started their career in finance in 1988. Deborah had worked at 2 firms and has passed the Series 63, Series 62, Series 22, Series 7, Series 24 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 24, 1993 - June 14, 1999
RIDGEMONT SECURITIES, INC.
March 23, 1988 - October 4, 1989
L.M. DREW & ASSOCIATES
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 62
Date: 5/22/1995
Corporate Securities Limited Representative ExaminationCurrent Firm
RIDGEMONT SECURITIES, INC.
CRD#: 15253 / SEC#: , 8-31916
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VERA, MELISSA BURR | SECRETARY / FINANCIAL OPERATIONS PRINCIPAL | 2557422 |
| CLINE, KEVIN LEE | PRESIDENT |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 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.
