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JM

John T. Moore

Some features on this profile are disabled
CRD#: 1931756
JM

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.

John Thomas Moore, who also goes by John Thomas Moore Jr, John Thomas (jr) Moore, was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1989. John had worked at 5 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

John Thomas Moore Jr | John Thomas (jr) Moore

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 29, 2009 - December 31, 2021

MARWOOD GROUP RESEARCH

BD
CRD#: 147316
NEW YORK, NY
Past

October 30, 2008 - December 31, 2021

MARWOOD GROUP RESEARCH

RIA
CRD#: 147316
NEW YORK, NY
Past

August 24, 2006 - January 23, 2014

MARWOOD ALTERNATIVE ASSET MANAGEMENT LLC

RIA
CRD#: 134039
NEW YORK, NY
Past

December 16, 2005 - April 13, 2011

MARWOOD ALTERNATIVE ASSET MANAGEMENT LLC

BD
CRD#: 134039
NEW YORK, NY
Past

March 22, 2004 - December 31, 2025

MARWOOD GROUP

RIA
CRD#: 117015
NEW YORK, NY
Past

April 2, 2002 - February 9, 2026

MARWOOD GROUP

BD
CRD#: 117015
NEW YORK, NY
Past

March 18, 1989 - December 10, 1993

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

BD
CRD#: 680
NEWARK, NJ
Past

March 18, 1989 - June 22, 1995

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/23/2003
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 3/29/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/23/2002
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 3/10/1989
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/11/2002
General Securities Principal Examination

Current Firm

MG
MARWOOD GROUP RESEARCH
MARWOOD GROUP RESEARCH | MARWOOD GROUP RESEARCH LLC

CRD#: 147316 / SEC#: , 8-67969

BD
Terminated by SEC on 02/16/2022
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Contact information

Main Address
733 Third Avenue 11th Floor, New York, NY 10017
Mailing Address
Phone number
(212) 532-3651
Established
New York since 05/28/2003
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees
15

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
DORFMAN, ADDIE TALCHIEF COMPLIANCE OFFICER6911301

Disclosures

Regulatory Event1

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.

Company Information

MARWOOD GROUP RESEARCH

CRD#: 147316

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Contact information

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