Colin M. Moors
Professional summary
Colin Michael Moors is a registered financial advisor currently at MAIN STREET FINANCIAL SOLUTIONS, LLC located in Sayville, New York.
Colin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Colin has worked at 9 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 55, Series 7, Series 10, Series 9, Series 14, Series 4, Series 53, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Colin Michael Moors's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 30, 2023 - Present
MAIN STREET FINANCIAL SOLUTIONS, LLC
October 11, 2017 - July 19, 2023
AMERICAN PORTFOLIOS ADVISORS, INC
August 7, 2017 - July 19, 2023
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
September 14, 2009 - June 9, 2017
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
January 19, 2005 - February 5, 2009
LADENBURG THALMANN & CO. INC.
May 17, 2004 - January 18, 2005
LAIDLAW & COMPANY (UK) LTD.
March 17, 2004 - November 1, 2004
SANDS BROTHERS & CO., LTD.
July 22, 1999 - August 8, 2002
PATAGON.COM SECURITIES CORP.
May 25, 1995 - July 27, 1999
TD AMERITRADE, INC.
March 18, 1993 - December 23, 1993
SOUTH RICHMOND SECURITIES, INC.
Primary Firm SEC Registration
MAIN STREET FINANCIAL SOLUTIONS, LLC
CRD#: 305834 / SEC#: 801-117871
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(7/30/2023)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 55
Date: 12/18/2001
Limited Representative-Equity Trader ExamSeries 8
Date: 6/7/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MAIN STREET FINANCIAL SOLUTIONS, LLC
CRD#: 305834 / SEC#: 801-117871
Contact information
SEC notice filing (26 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 6,091 |
| AUM (Assets Under Management) | $ 2,494,613,000 |
Red Flags
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