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RM

Randy L. Moe

MERIDIAN CAPITAL LLC
SEATTLE, WA 98101
Some features on this profile are disabled
CRD#: 2786506
RM

Professional summary

Randy Lee Moe MR., who also goes by Randy Lee Moe, is a registered financial professional currently at MERIDIAN CAPITAL LLC located in Seattle, Washington.

Randy is registered as a RR (Registered Representative) and started their career in finance in 1996. Randy has worked at 4 firms and has passed the Series 63, SIE, Series 79TO, Series 79 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Randy Lee Moe

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) - BD

Click below to view Randy Lee Moe MR.'s CRS (Customer Relationship Summary).

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

Current

March 9, 2023 - Present

MERIDIAN CAPITAL LLC

Office #1: 400 Union St Fl 2, Seattle, WA 98101Office #2: 500 Nw 116th Ave Ste. 180, Portland, OR 97225
BD
CRD#: 172143
SEATTLE, WA
Past

January 22, 2014 - February 28, 2017

ORCA CAPITAL SECURITIES, LLC

BD
CRD#: 154514
PORTLAND, OR
Past

November 29, 1997 - September 1, 1998

SALOMON BROTHERS INC.

BD
CRD#: 740
NEW YORK, NY
Past

September 16, 1996 - July 30, 2003

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Oregon
(8/8/2023)
RR
Washington
(3/9/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 12/20/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 3/9/2023
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79TO
Date: 12/20/2022
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 79
Date: 1/22/2014
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 8/19/1996
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

MC
MERIDIAN CAPITAL LLC
MERIDIAN CAPITAL LLC

CRD#: 172143 / SEC#: , 8-69499

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

Main Address
400 Union St Fl 2, Seattle, WA 98101
Mailing Address
400 Union St. Suite 200, Seattle, WA 98101
Phone number
(206) 623-4000
Established
Washington since 11/03/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (5 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
MURPHY, BRIAN DAVIDCEO,CCO, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER6147279
RINGLAND, PATRICK THOMAS GILLIAMDIRECTOR & AML COMPLIANCE PERSON6148246
WILKE, CHARLES STEPHENMANAGING DIRECTOR2624241

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.

Company Information

MERIDIAN CAPITAL LLC

CRD#: 172143Seattle, WA 98101

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