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SM

Scott T. Moore

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CRD#: 1971616
SM

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

Are you a "fiduciary"?
No

Aliases

None

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

November 3, 2005 - October 13, 2006

CANTOR FITZGERALD SECURITIES

BD
CRD#: 19660
NEW YORK, NY
Past

April 26, 2004 - March 2, 2018

CANTOR FITZGERALD & CO.

BD
CRD#: 134
CHICAGO, IL
Past

September 13, 1999 - April 29, 2004

PIPER SANDLER & CO.

BD
CRD#: 665
MINNEAPOLIS, MN
Past

June 21, 1997 - August 17, 1999

MERCANTILE INVESTMENT SERVICES, INC.

BD
CRD#: 19908
ST. LOUIS, MO
Past

July 13, 1995 - June 21, 1997

MARK TWAIN BROKERAGE SERVICES, INC.

BD
CRD#: 16925
Past

July 18, 1989 - March 31, 1994

MARK TWAIN BROKERAGE SERVICES, INC.

BD
CRD#: 16925

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
Series 63
Date: 9/27/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 3/2/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 12/6/2007
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 7/15/1989
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 11/2/2000
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 9/29/2000
General Securities Sales Supervisor - Options Module Examination

Current Firm

CF
CANTOR FITZGERALD SECURITIES
CANTOR FITZGERALD SECURITIES | CANTOR FITZGERALD SECURITIES CORP.

CRD#: 19660 / SEC#: , 8-37708

BD
Terminated by SEC on 12/24/2006
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 09/25/1992
Firm type
Partnership
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
CFLP CFS I HOLDINGS, L.P.MANAGING PARTNER
ANZALONE, THOMAS JOSEPHCHIEF OPERATIONS OFFICER1161513
CFGM CFS HOLDINGS, LLCPARTNER
GOLDMAN, IRVIN JANCEO AND PRESIDENT DEBT CAPITAL MARKETS AND ASSET MANGEMENT1265520
LIPSON, RICHARD ROBERTCHIEF FINANCIAL OFFICER2378464
MERKEL, STEPHEN MCHIEF LEGAL OFFICE2366318
WELS, ANDREW CRAIGCHIEF COMPLIANCE OFFICE1970864

Disclosures

Regulatory Event3

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

CANTOR FITZGERALD SECURITIES

CRD#: 19660

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