Richard W. Moos
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.
Richard William Moos, who also goes by Rick Moos, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1997. Richard had worked at 14 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 15, 2018 - April 23, 2019
STONECREST CAPITAL MARKETS, INC.
September 26, 2016 - May 25, 2017
CUSO FINANCIAL SERVICES, L.P.
September 26, 2016 - May 25, 2017
CUSO FINANCIAL SERVICES, L.P.
October 22, 2015 - August 17, 2016
EMERSON EQUITY LLC
February 10, 2015 - November 9, 2015
HALEN CAPITAL
May 10, 2012 - January 13, 2015
CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC
May 10, 2012 - January 13, 2015
CAPITAL GUARDIAN, LLC
October 17, 2011 - May 10, 2012
FURTHER LANE SECURITIES, L.P.
January 19, 2011 - October 19, 2011
CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC
January 19, 2011 - October 19, 2011
CAPITAL GUARDIAN, LLC
January 21, 2010 - January 20, 2011
LAIDLAW WEALTH MANAGEMENT LLC
July 9, 2009 - January 25, 2011
LAIDLAW & COMPANY (UK) LTD.
November 18, 2008 - June 19, 2009
SWBC INVESTMENT COMPANY
November 18, 2008 - June 19, 2009
SWBC INVESTMENT SERVICES, LLC
October 7, 2004 - November 25, 2008
ADVISORS ASSET MANAGEMENT, INC.
April 18, 2001 - November 25, 2008
ADVISORS ASSET MANAGEMENT, INC.
June 19, 2000 - April 17, 2001
INVESTMENT PROFESSIONALS, INC.
August 27, 1997 - June 19, 2000
USAA INVESTMENT SERVICES COMPANY
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
STONECREST CAPITAL MARKETS, INC.
CRD#: 39616 / SEC#: , 8-48754
Contact information
FINRA licenses (41 States and Territories)
Disclosures
| Regulatory Event | 5 |
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.
