Scott T. 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.
Scott Topping Moore was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1989. Scott had worked at 5 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 3, 2005 - October 13, 2006
CANTOR FITZGERALD SECURITIES
April 26, 2004 - March 2, 2018
CANTOR FITZGERALD & CO.
September 13, 1999 - April 29, 2004
PIPER SANDLER & CO.
June 21, 1997 - August 17, 1999
MERCANTILE INVESTMENT SERVICES, INC.
July 13, 1995 - June 21, 1997
MARK TWAIN BROKERAGE SERVICES, INC.
July 18, 1989 - March 31, 1994
MARK TWAIN BROKERAGE SERVICES, 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
Current Firm
CANTOR FITZGERALD SECURITIES
CRD#: 19660 / SEC#: , 8-37708
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CFLP CFS I HOLDINGS, L.P. | MANAGING PARTNER | |
| ANZALONE, THOMAS JOSEPH | CHIEF OPERATIONS OFFICER | 1161513 |
| CFGM CFS HOLDINGS, LLC | PARTNER | |
| GOLDMAN, IRVIN JAN | CEO AND PRESIDENT DEBT CAPITAL MARKETS AND ASSET MANGEMENT | 1265520 |
| LIPSON, RICHARD ROBERT | CHIEF FINANCIAL OFFICER | 2378464 |
| MERKEL, STEPHEN M | CHIEF LEGAL OFFICE | 2366318 |
| WELS, ANDREW CRAIG | CHIEF COMPLIANCE OFFICE | 1970864 |
Disclosures
| Regulatory Event | 3 |
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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