Erin H. Mooers
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.
Erin Hayes Mooers was a registered financial professional .
Erin is a previously registered financial professional and started their career in finance in 1995. Erin had worked at 8 firms and has passed the Series 65, Series 63, Series 7, Series 2 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
June 3, 2010 - December 31, 2013
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
December 12, 2008 - May 14, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
December 12, 2008 - May 14, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
January 10, 2006 - September 10, 2008
U.S. BANCORP INVESTMENTS, INC.
June 30, 2005 - September 10, 2008
U.S. BANCORP INVESTMENTS, INC.
December 8, 2003 - June 21, 2005
WADDELL & REED
November 24, 2003 - June 21, 2005
WADDELL & REED
February 15, 2001 - May 16, 2003
VALIC FINANCIAL ADVISORS, INC.
April 24, 2000 - December 31, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
April 24, 2000 - May 16, 2003
VALIC FINANCIAL ADVISORS, INC.
July 1, 1996 - April 3, 2000
NATIONWIDE INVESTMENT SERVICES CORPORATION
January 16, 1995 - July 1, 1996
NATIONWIDE SECURITIES, 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
Series 2
Date: 6/26/1996
Non-Member General Securities ExaminationCurrent Firm
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
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.
