Lori A. 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.
Lori Anne Moore, who also goes by Lori A Moore, Lori A Stacy, Lori Anne Walters, was a registered financial professional .
Lori is a previously registered financial professional and started their career in finance in 1997. Lori had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 31, Series 10 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
May 12, 2015 - June 11, 2020
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 9, 2006 - October 21, 2009
UBS FINANCIAL SERVICES INC.
November 9, 2006 - October 21, 2009
UBS FINANCIAL SERVICES INC.
November 13, 2002 - November 13, 2006
MORGAN STANLEY DW INC.
May 30, 2002 - November 13, 2006
MORGAN STANLEY DW INC.
March 20, 2000 - April 6, 2001
METROPOLITAN LIFE INSURANCE COMPANY
March 20, 2000 - April 6, 2001
MSI FINANCIAL SERVICES, INC.
September 16, 1997 - December 1, 1998
UBS FINANCIAL SERVICES INC.
April 30, 1997 - July 3, 1997
MORGAN STANLEY DW 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
Current Firm
RAYMOND JAMES FINANCIAL SERVICES, INC.
CRD#: 6694 / SEC#: , 8-17983
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | OWNER | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| ELWYN, TASHTEGO SPRING | DIRECTOR | 2319098 |
| GEIS, WILLIAM CHRISTIAN | DIRECTOR | 2171250 |
| GRIGAS CALIGIURI, KARA | PRINCIPAL FINANCIAL OFFICER, FINOP | 2146027 |
| KRUCHTEN, STEPHEN EDWARD | DIRECTOR | 1645287 |
| REID, SHANNON BELVEAL | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 4815189 |
| RUST, KEITH G | PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL | 6306997 |
Disclosures
| Regulatory Event | 128 |
| Arbitration | 76 |
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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