Richard D. 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.
Richard Dennis Moore JR, who also goes by Richard Moore, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1992. Richard had worked at 10 firms and has passed the Series 63, Series 55, Series 7, Series 62 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 30, 2013 - April 1, 2014
BROADRIDGE BUSINESS PROCESS OUTSOURCING, LLC
March 7, 2012 - June 29, 2012
RODMAN & RENSHAW, LLC
October 2, 2008 - November 30, 2011
ARITAS SECURITIES LLC
May 4, 2006 - May 2, 2008
FM PARTNERS HOLDINGS LLC
January 8, 2005 - May 11, 2006
TULLETT PREBON FINANCIAL SERVICES LLC
April 21, 2004 - March 17, 2005
SARATOGA CAPITAL MARKETS
June 26, 2002 - January 21, 2005
BURLINGTON CAPITAL MARKETS INC.
May 23, 2001 - May 21, 2002
INSTINET, LLC
July 26, 1995 - May 15, 1996
MERRIN CAPITAL CORP.
November 30, 1992 - March 2, 1993
JONESTRADING
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: 8/4/2004
Limited Representative-Equity Trader ExamSeries 62
Date: 11/25/1992
Corporate Securities Limited Representative ExaminationCurrent Firm
BROADRIDGE BUSINESS PROCESS OUTSOURCING, LLC
CRD#: 114212 / SEC#: , 8-53412
Contact information
FINRA licenses (6 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROADRIDGE BPO HOLDING LLC | SOLE MEMBER | |
| ALEXANDER, MICHAEL JAY | CEO/PRESIDENT/ MANAGER ON THE BOARD OF MANAGERS | 1428753 |
| BEUTELSCHIES, WILL SAMUEL | DIRECTOR OF COMPLIANCE: AMLCO | 2779204 |
| CASS, ALBERT JOHN LLL | VICE PRESIDENT | 2182652 |
| DEONIER, CHRISTIAN WILLIAM | SENIOR VICE PRESIDENT | 2829240 |
| GIACALONE, THOMAS A. | PRINCIPAL OPERATING OFFICER / MANAGER ON THE BOARD OF MANAGERS | 2873774 |
| JUHL, SVETLANA | MANAGER ON THE BOARD OF MANAGERS | 6154375 |
| PERRY, CHRISTOPHER JOHN | MANAGER ON THE BOARD OF MANAGERS | 1841603 |
| PORT, JAMES EDWARD | CHIEF COMPLIANCE OFFICER | 2366427 |
| SAX, CHARLES EDMOND | CHIEF FINANCIAL OFFICER / VP / TREASURER / FINOP | 1821188 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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