Michael S. Moses
Professional summary
Michael S Moses was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Michael is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, Michael had worked at 4 firms, which includes MOSES INVESTMENT COMPANY LLC, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, ECHOTRADE LLC, GARDNER RICH L.L.C..
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 19, 2013 - December 31, 2016
MOSES INVESTMENT COMPANY, LLC
October 18, 2012 - January 10, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 12, 2012 - January 10, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 15, 2007 - January 14, 2009
ECHOTRADE LLC
April 27, 1992 - December 1, 1992
GARDNER RICH, L.L.C.
State Registrations and Notice Filings
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Exams
Current Firm
MOSES INVESTMENT COMPANY, LLC
CRD#: 166795 / SEC#:
Contact information
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