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Mark J. Moeller

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CRD#: 2469139
MM

Professional summary

Mark John Moeller was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Mark is a previously registered financial professional and started their career in finance in 1998. Prior to being barred, Mark had worked at 5 firms, which includes RAYMOND JAMES FINANCIAL SERVICES INC., MML INVESTORS SERVICES LLC, NEW ENGLAND SECURITIES, LPL FINANCIAL LLC, VESTAX SECURITIES CORPORATION.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

September 11, 2002 - November 6, 2002

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
ST. PETERSBURG, FL
Past

January 24, 2002 - September 17, 2002

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
SPRINGFIELD, MA
Past

May 31, 2001 - December 14, 2001

NEW ENGLAND SECURITIES

BD
CRD#: 615
NEW YORK, NY
Past

April 6, 1999 - April 17, 2001

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC
Past

February 4, 1998 - April 6, 1999

VESTAX SECURITIES CORPORATION

BD
CRD#: 10332
HUDSON, OH

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 1/15/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/30/1997
General Securities Representative Examination

Current Firm

RAYMOND JAMES FINANCIAL SERVICES, INC.
RAYMOND JAMES FINANCIAL SERVICES, INC.
INVESTMENT MANAGEMENT & RESEARCH, INC | RAYMOND JAMES FINANCIAL SERVICES, INC. | RAYMOND JAMES FINANCIAL SERVICES | RAYMOND JAMES ADVISORY SERVICES

CRD#: 6694 / SEC#: , 8-17983

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
880 Carillon Parkway, St. Petersburg, FL 33716
Mailing Address
880 Carillon Parkway, St. Petersburg, FL 33716
Phone number
(727) 567-1000
Established
Florida since 09/12/1973
Firm type
Corporation
Fiscal year end
September
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
RAYMOND JAMES FINANCIAL, INC.OWNER
BARKO, SHAWN JOSEPHCHIEF COMPLIANCE OFFICER2690394
CURTIS, SCOTTDIRECTOR1707935
ELWYN, TASHTEGO SPRINGDIRECTOR2319098
GEIS, WILLIAM CHRISTIANDIRECTOR2171250
GRIGAS CALIGIURI, KARAPRINCIPAL FINANCIAL OFFICER, FINOP2146027
KRUCHTEN, STEPHEN EDWARDDIRECTOR1645287
REID, SHANNON BELVEALPRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR4815189
RUST, KEITH GPRINCIPAL OPERATIONS OFFICER5915636
SANTELLI, JONATHANGENERAL COUNSEL6306997

Disclosures

Regulatory Event128
Arbitration76

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

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