Christopher C. Moger
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.
Christopher Clifford Moger, who also goes by Christopher Clifford Moser, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1996. Christopher had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 7, Series 24 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2019 - February 4, 2020
SILVER LEAF PARTNERS, LLC
June 16, 2017 - January 2, 2019
PLURIS CAPITAL GROUP, INC.
October 19, 2015 - March 1, 2017
DREXEL HAMILTON, LLC
November 25, 2014 - October 19, 2015
BURNHAM SECURITIES INC.
November 1, 2005 - October 30, 2014
BREAN CAPITAL, LLC
April 1, 2005 - March 14, 2006
BREAN MURRAY & CO., INC.
October 23, 2003 - May 5, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 7, 2003 - May 5, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 20, 2002 - January 14, 2003
KAUFMAN BROS., L.P.
October 8, 1996 - December 19, 2001
ABN AMRO SECURITIES LLC
May 16, 1996 - October 8, 1996
CONTINENTAL BROKER-DEALER CORP.
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 55
Date: 12/15/1998
Limited Representative-Equity Trader ExamCurrent Firm
SILVER LEAF PARTNERS, LLC
CRD#: 126694 / SEC#: , 8-65902
Contact information
FINRA licenses (50 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
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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