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SM

Scott T. Moore

ZENITH SECURITIES
NORWALK, CT 06854
Some features on this profile are disabled
CRD#: 1971616
SM
Scott Topping MooreZENITH SECURITIES

Professional summary

Scott Topping Moore is a registered financial professional currently at ZENITH SECURITIES LLC located in Norwalk, Connecticut.

Scott is registered as a RR (Registered Representative) and started their career in finance in 1989. Scott has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 10 and Series 9 exams.

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) - BD

Click below to view Scott Topping Moore's CRS (Customer Relationship Summary).

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

Current

July 20, 2026 - Present

ZENITH SECURITIES LLC

Office #1: 85 Washington Street Suite 1f, Norwalk, CT 06854
BD
CRD#: 138135
NORWALK, CT
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
IAR
Series 65
Date: 7/1/2019
Uniform Investment Adviser Law Examination
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
SRO Registrations
RR
FINRA

Current Firm

ZS
ZENITH SECURITIES LLC
HSH N FINANCIAL SECURITIES LLC | ZENITH SECURITIES LLC | ZENITH CAPITAL ADVISORS LLC | MID-SHIP SECURITIES LLC

CRD#: 138135 / SEC#: , 8-67146

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
85 Washington Street Suite 1f, Norwalk, CT 06854
Mailing Address
100 First Stamford Place Suite 330, Stamford, CT 06902
Phone number
(203) 253-5936
Established
Delaware since 08/23/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (5 States and Territories)

Documents

Direct owners and executive officers

NamePositionCRD#
HONDO HOLDINGS LLCMEMBER
ARORA, VRINDAFINOP7784034
BISCHOFF, STEVEN WALLACECEO1401631
WHITE, ALAN THOMASCCO2723669

Red Flags

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Company Information

ZENITH SECURITIES LLC

CRD#: 138135Norwalk, CT 06854

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