Eric Mora
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.
Eric Mora, who also goes by Eric Mora, Erik R Mora, Erik Rudy Mora, was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 1997. Eric had worked at 9 firms and has passed the Series 65, Series 63, SIE 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
September 8, 2014 - July 10, 2017
PURSHE KAPLAN STERLING INVESTMENTS
May 9, 2012 - August 14, 2014
TRANSAMERICA CAPITAL, LLC
January 30, 2012 - May 10, 2012
GLOBAL ATLANTIC DISTRIBUTORS, LLC
May 14, 2009 - December 31, 2011
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
June 25, 2007 - May 4, 2009
LINCOLN FINANCIAL DISTRIBUTORS, INC.
September 15, 2004 - May 29, 2007
TRANSAMERICA CAPITAL, LLC
February 18, 2004 - September 8, 2004
METLIFE INVESTORS DISTRIBUTION COMPANY
November 5, 2003 - February 17, 2004
TOWER SQUARE SECURITIES, INC.
November 9, 2000 - July 10, 2003
TRANSAMERICA CAPITAL, LLC
July 21, 1999 - November 15, 2000
EQUITABLE DISTRIBUTORS, LLC
October 23, 1997 - July 26, 1999
SIGNATOR INVESTORS, 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
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
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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