JM
James A. Moore
BARINGS SECURITIES LLC
CHARLOTTE, NC 28202
Some features on this profile are disabled
CRD#: 2846068
JM
Professional summary
James Arnold Moore, who also goes by Jim Moore, is a registered financial professional currently at BARINGS SECURITIES LLC located in Charlotte, North Carolina.
James is registered as a RR (Registered Representative) and started their career in finance in 1997. James has worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Jim Moore
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.
CRS (Client Relationship Summary) - BD
Click below to view James Arnold Moore'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®
NoneExperience
Current
June 16, 2016 - Present
BARINGS SECURITIES LLC
Office #1: 300 S. Tryon Street Suite 2500, Charlotte, NC 28202BD
CRD#: 36929
CHARLOTTE, NC
Past
June 13, 2005 - May 29, 2015
NATWEST MARKETS SECURITIES INC.
BD
CRD#: 11707
GREENWICH, CT
Past
June 17, 2002 - June 13, 2005
RBS SECURITIES CORPORATION
BD
CRD#: 118936
NEW YORK, NY
Past
July 8, 1997 - March 2, 2001
JPMSI
BD
CRD#: 15733
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
Alabama(6/16/2016)
RR
Alaska(6/16/2016)
RR
Arizona(6/16/2016)
RR
Arkansas(6/16/2016)
RR
California(6/16/2016)
RR
Colorado(6/16/2016)
RR
Connecticut(6/16/2016)
RR
Delaware(6/16/2016)
RR
District of Columbia(6/16/2016)
RR
Florida(6/16/2016)
RR
Georgia(6/16/2016)
RR
Hawaii(6/16/2016)
RR
Idaho(6/16/2016)
RR
Illinois(6/16/2016)
RR
Indiana(6/16/2016)
RR
Iowa(6/16/2016)
RR
Kansas(6/16/2016)
RR
Kentucky(6/16/2016)
RR
Louisiana(6/16/2016)
RR
Maine(6/16/2016)
RR
Maryland(6/16/2016)
RR
Massachusetts(6/16/2016)
RR
Michigan(6/16/2016)
RR
Minnesota(6/16/2016)
RR
Mississippi(6/16/2016)
RR
Missouri(6/16/2016)
RR
Montana(6/16/2016)
RR
Nebraska(6/16/2016)
RR
Nevada(6/16/2016)
RR
New Hampshire(6/16/2016)
RR
New Jersey(6/16/2016)
RR
New Mexico(6/16/2016)
RR
New York(6/16/2016)
RR
North Carolina(6/17/2016)
RR
North Dakota(6/16/2016)
RR
Ohio(6/16/2016)
RR
Oklahoma(6/16/2016)
RR
Oregon(6/16/2016)
RR
Pennsylvania(6/16/2016)
RR
Puerto Rico(6/16/2016)
RR
Rhode Island(6/16/2016)
RR
South Carolina(6/16/2016)
RR
South Dakota(6/16/2016)
RR
Tennessee(6/16/2016)
RR
Texas(6/16/2016)
RR
Utah(6/16/2016)
RR
Vermont(6/16/2016)
RR
Virginia(6/16/2016)
RR
Washington(6/16/2016)
RR
West Virginia(6/16/2016)
RR
Wisconsin(6/16/2016)
RR
Wyoming(6/16/2016)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
BS
BARINGS SECURITIES LLC
BABSON CAPITAL SECURITIES INC | BARINGS SECURITIES LLC | BABSON SECURITIES CORPORATION | BABSON CAPITAL SECURITIES LLC
CRD#: 36929 / SEC#: , 8-47589
BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
300 S. Tryon Street Suite 2500, Charlotte, NC 28202
Mailing Address
300 S. Tryon Street Suite 2500, Charlotte, NC 28202
Phone number
(704) 805-7200
Established
Delaware since 01/01/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
