Maurice D. Landers
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.
Maurice David Landers, who also goes by Mossy Landers, was a registered financial professional .
Maurice is a previously registered financial professional and started their career in finance in 1997. Maurice had worked at 8 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 27, 2011 - October 30, 2013
GLOBAL ARENA CAPITAL CORP
August 27, 2010 - November 29, 2010
SOUTHEAST INVESTMENTS, N.C., INC.
May 11, 2007 - September 16, 2008
GROVE POINT INVESTMENTS, LLC
January 19, 2004 - December 8, 2005
INVESTORS CAPITAL CORP.
August 7, 2001 - June 28, 2002
CAPITAL SUISSE SECURITIES, INC.
November 6, 2000 - August 3, 2001
WALL STREET FINANCIAL GROUP, INC.
January 12, 1998 - November 5, 1998
EDWARD JONES
April 10, 1997 - December 18, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
GLOBAL ARENA CAPITAL CORP
CRD#: 16871 / SEC#: , 8-34661
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
| Financial | 1 |
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.
