Gerard R. Moreno
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.
Gerard Robert Moreno was a registered financial professional .
Gerard is a previously registered financial professional and started their career in finance in 1991. Gerard had worked at 6 firms and has passed the Series 63, Series 55, Series 3, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 7, 2005 - January 22, 2013
TEMPER OF THE TIMES INVESTOR SERVICES, INC.
November 1, 2004 - July 18, 2005
GUZMAN & COMPANY
October 17, 2000 - October 15, 2004
NATIONAL SECURITIES CORPORATION
May 26, 1994 - October 26, 2000
SHARPE CAPITAL, INC.
January 1, 1994 - May 20, 1994
COWEN EXECUTION SERVICES LLC
September 30, 1991 - January 1, 1994
EXECUTION SERVICES INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Series 55
Date: 6/12/2001
Limited Representative-Equity Trader ExamCurrent Firm
TEMPER OF THE TIMES INVESTOR SERVICES, INC.
CRD#: 39753 / SEC#: , 8-48981
Contact information
Documents
Disclosures
| Regulatory Event | 8 |
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