Michael J. 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.
Michael Jay Moore, who also goes by Michaael Moore, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1996. Michael had worked at 5 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 3 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
January 10, 2012 - November 3, 2020
GRIFFIN CAPITAL SECURITIES, LLC
February 1, 2011 - January 6, 2012
GRUBB & ELLIS CAPITAL CORPORATION
September 25, 2008 - August 9, 2011
GRUBB & ELLIS SECURITIES, INC.
November 3, 2003 - September 26, 2008
COMMONWEALTH FINANCIAL NETWORK
November 3, 2003 - September 26, 2008
COMMONWEALTH FINANCIAL NETWORK
July 8, 1997 - November 6, 2003
A. G. EDWARDS & SONS, INC.
January 15, 1996 - November 6, 2003
A. G. EDWARDS & SONS, INC.
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 7TO
Date: 12/22/2022
General Securities Representative ExaminationCurrent Firm
GRIFFIN CAPITAL SECURITIES, LLC
CRD#: 37739 / SEC#: , 8-47891
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 2 |
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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