John C. 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.
John Cyril Moore was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1991. John had worked at 8 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 4, Series 8, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 31, 2006 - October 14, 2016
UBS FUND SERVICES (USA) LLC
August 4, 2004 - October 3, 2016
UBS ASSET MANAGEMENT (US) INC.
October 30, 2001 - July 29, 2004
UBS ASSET MANAGEMENT (US) INC.
June 29, 1998 - August 22, 2001
UBS SECURITIES LLC
September 2, 1997 - June 30, 1998
SBC WARBURG DILLON READ INC.
September 29, 1995 - September 2, 1997
SBC WARBURG, INC.
January 11, 1993 - May 13, 1994
RAS TRADING, L.P.
July 15, 1992 - October 15, 1992
GTC LIMITED PARTNERSHIP
April 3, 1991 - May 26, 1992
THE CHICAGO CORPORATION
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
Series 8
Date: 11/14/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
UBS FUND SERVICES (USA) LLC
CRD#: 41848 / SEC#: , 8-49596
Contact information
FINRA licenses (52 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.
