Alex 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.
Alex Moreno was a registered financial professional .
Alex is a previously registered financial professional and started their career in finance in 1994. Alex had worked at 9 firms and has passed the Series 66, Series 65, Series 63, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 13, 2011 - March 23, 2012
DOMINICK & DICKERMAN LLC
November 28, 2011 - March 23, 2012
DOMINICK & DICKERMAN LLC
August 9, 2010 - October 4, 2011
HSBC SECURITIES (USA) INC.
May 11, 2010 - October 4, 2011
HSBC SECURITIES (USA) INC.
September 12, 2008 - February 20, 2009
MORGAN STANLEY & CO. LLC
August 25, 2008 - February 20, 2009
MORGAN STANLEY & CO. LLC
March 12, 2004 - November 5, 2004
CITIGROUP GLOBAL MARKETS INC.
March 9, 2004 - November 5, 2004
CITIGROUP GLOBAL MARKETS INC.
July 2, 2003 - March 3, 2004
SIGNATOR INVESTORS, INC.
October 25, 2001 - November 25, 2002
MORGAN STANLEY DW INC.
October 24, 2001 - November 25, 2002
MORGAN STANLEY DW INC.
February 13, 2001 - May 17, 2001
DEUTSCHE BANK SECURITIES INC.
November 22, 1995 - January 12, 2001
GOLDMAN SACHS & CO. LLC
December 7, 1994 - November 14, 1995
PERSHING LLC
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
Current Firm
DOMINICK & DICKERMAN LLC
CRD#: 7344 / SEC#: 801-63247, 8-21076
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DM TRUST | OWNER | |
| DERBY WEST LLC | TRUSTEE OF DM TRUST | |
| HLADEK, ROBERT MICHAEL | CEO | |
| HLADEK, ROBERT MICHAEL | SR. VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2199923 |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 11 |
| Bond | 1 |
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.
