Charles D. Moore
Professional summary
Charles Douglas Moore, who also goes by Charles D Moore, Doug Moore, is a registered financial professional currently at NYLIFE SECURITIES LLC located in Glen Allen, Virginia.
Charles is registered as a RR (Registered Representative) and started their career in finance in 1993. Charles has worked at 6 firms and has passed the Series 63, Series 7TO, SIE, Series 7, Series 3, Series 28 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Charles Douglas Moore's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 26, 2024 - Present
NYLIFE SECURITIES LLC
Office #1: 4121 Cox Road Suite 200, Glen Allen, VA 23060March 9, 2020 - December 31, 2022
MGI FUNDS DISTRIBUTORS, LLC
July 13, 2011 - July 12, 2012
AGECROFT PARTNERS, LLC
May 19, 2010 - July 14, 2011
FRONTIER SOLUTIONS, LLC
February 27, 2003 - May 19, 2010
MAYMONT PARTNERS, INC.
September 2, 1993 - March 7, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/8/2024)
(4/9/2025)
(8/22/2025)
(6/11/2024)
(5/22/2024)
Exams
Series 7TO
Date: 3/9/2020
General Securities Representative ExaminationSeries 28
Date: 9/8/2003
Introducing Broker/Dealer Financial Operations Principal ExaminationFINRA
Current Firm
NYLIFE SECURITIES LLC
CRD#: 5167 / SEC#: , 8-15517
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NYLIFE LLC. | SHAREHOLDER | |
| BAGTAS, ANGELA CHEN | ELECTED MANAGER | 8172856 |
| BOCCIO, JOHN MICHAEL | CHIEF EXECUTIVE OFFICER AND PRESIDENT | 4600977 |
| DUARTE, DEBORAH LYNN | ELECTED MANAGER | 6090278 |
| ENGELBRECHTSEN, TOM DAHL | CORPORATE VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 2908809 |
| FEINBERG, AMARYA NMN | ELECTED MANAGER | 8162482 |
| GARDNER, ROBERT MICHAEL | ELECTED MANAGER | 6160318 |
| HUANG, DYLAN WEI | ELECTED MANAGER AND CHAIRMAN | 6233208 |
| LOFTUS, PATRICIA ELIZABETH | CORPORATE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | 2156131 |
| SCHWARTZ, RACHEL SABRINA | VICE PRESIDENT AND ASSOCIATE GENERAL COUNSEL | 8170474 |
| TILLOTSON, SANDRA G | ELECTED MANAGER | 7617600 |
| ZAMAN, NABEED | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 6410914 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 7 |
Red Flags
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Company Information
NYLIFE SECURITIES LLC
CRD#: 5167Glen Allen, VA 23060TRUST BUT VERIFY
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