Jonathan K. Moore
Professional summary
Jonathan Kiel Moore is a registered financial professional currently at ETC BROKERAGE SERVICES, LLC located in Dallas, Texas.
Jonathan is registered as a RR (Registered Representative) and started their career in finance in 1993. Jonathan has worked at 4 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 55, Series 7, Series 27, Series 9, Series 10, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Jonathan Kiel Moore's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 1, 2024 - Present
ETC BROKERAGE SERVICES, LLC
Office #1: Three Lincoln Centre 5430 Lbj Freeway, Suite 320, Dallas, TX 75240May 21, 2021 - December 20, 2023
TD AMERITRADE, INC.
July 1, 1993 - January 8, 2024
CHARLES SCHWAB & CO., INC.
February 8, 1993 - March 12, 1993
AMERINATIONAL FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/2/2024)
(2/1/2024)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 10/26/2000
Limited Representative-Equity Trader ExamSeries 8
Date: 1/3/1996
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
ETC BROKERAGE SERVICES, LLC
CRD#: 145276 / SEC#: , 8-67719
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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Company Information
ETC BROKERAGE SERVICES, LLC
CRD#: 145276Dallas, TX 75240TRUST BUT VERIFY
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