Tami C. Moore
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.
Tami Catherine Moore, who also goes by Tami Catherine Epstein, Tami Catherine Epstein-moore, was a registered financial professional .
Tami is a previously registered financial professional and started their career in finance in 1994. Tami had worked at 14 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 19, 2021 - June 26, 2024
FIDELITY BROKERAGE SERVICES LLC
March 14, 2019 - July 26, 2019
SUMMIT BROKERAGE SERVICES, INC.
March 14, 2019 - July 26, 2019
CETERA INVESTMENT SERVICES LLC
February 22, 2019 - July 26, 2019
FIRST ALLIED SECURITIES, INC.
February 22, 2019 - July 26, 2019
CETERA FINANCIAL SPECIALISTS LLC
February 22, 2019 - July 26, 2019
CETERA ADVISORS LLC
March 15, 2017 - July 26, 2019
CETERA WEALTH SERVICES, LLC
December 4, 2014 - January 13, 2015
NATIONAL PLANNING CORPORATION
January 1, 2013 - January 28, 2013
LPL FINANCIAL LLC
April 26, 2011 - May 27, 2011
WORLD GROUP SECURITIES, INC.
May 2, 2009 - May 15, 2009
CHASE INVESTMENT SERVICES CORP.
June 23, 1999 - May 2, 2009
WAMU INVESTMENTS, INC.
May 28, 1999 - June 16, 1999
A. G. EDWARDS & SONS, INC.
May 10, 1995 - March 19, 1998
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
May 26, 1994 - October 13, 1994
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
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
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MAHNA, ROHIT | HEAD OF CLIENT GROWTH | 4078386 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 124 |
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.
