Evelyn M. 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.
Evelyn Milne Moore, who also goes by Evelyn Beth Milne, Evelyn Beth Moore, was a registered financial professional .
Evelyn is a previously registered financial professional and started their career in finance in 1990. Evelyn had worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2019 - November 1, 2022
CLSA AMERICAS, LLC
March 1, 2013 - November 1, 2022
CLSA AMERICAS, LLC
March 8, 1995 - June 7, 2013
CREDIT AGRICOLE SECURITIES (USA) INC.
October 7, 1991 - November 22, 1994
SBCI SWISS BANK CORPORATION INVESTMENT BANKING INC.
June 20, 1990 - October 1, 1991
DB ALEX. BROWN LLC
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
CLSA AMERICAS, LLC
CRD#: 165533 / SEC#: , 8-69166
Contact information
FINRA licenses (53 States and Territories)
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.
