Holmer Moran
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.
Holmer Moran, who also goes by Holmer Alfredo Moran, was a registered financial professional .
Holmer is a previously registered financial professional and started their career in finance in 1996. Holmer had worked at 6 firms and has passed the Series 66, Series 7TO, 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
August 19, 2019 - February 3, 2021
EFG CAPITAL INTERNATIONAL
February 12, 2004 - March 25, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
January 20, 2004 - March 25, 2004
IDS LIFE INSURANCE COMPANY
January 20, 2004 - March 25, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
August 27, 2002 - December 3, 2003
RAYMOND JAMES & ASSOCIATES, INC.
July 3, 2001 - August 29, 2002
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 30, 1996 - January 15, 1997
T. ROWE PRICE INVESTMENT SERVICES, 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: 3/29/2024
General Securities Representative ExaminationCurrent Firm
EFG CAPITAL INTERNATIONAL
CRD#: 40118 / SEC#: 801-120569, 8-48969
Contact information
FINRA licenses (30 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EFG CAPITAL HOLDINGS CORP. | PARENT | |
| ARGUMEDO, GUILLERMO ARTURO | SENIOR VICE PRESIDENT, REGISTERED OPTIONS PRINCIPAL | 2542794 |
| BORGES, LEONARDO SILVA | PRINCIPAL OPERATIONS OFFICER | 5637377 |
| ECHEVARRIA, VICTOR MANUEL | CHAIRMAN OF THE BOARD | 1939548 |
| GONZALEZ, CARLOS JAVIER | CHIEF COMPLIANCE OFFICER | 4294205 |
| LEVERETT, KYLE LAWRENCE | PRINCIPAL FINANCIAL OFFICER | 6123446 |
| MESQUITA, SILVANA SOBRAL | AMLCO | 6983852 |
| MOHOROVIC, SANJIN | CEO | 6849141 |
Disclosures
| Regulatory Event | 6 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
