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JM

Jamie D. Moher

Some features on this profile are disabled
CRD#: 3030310
JM

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.

Jamie Denise Moher was a registered financial professional .

Jamie is a previously registered financial professional and started their career in finance in 1998. Jamie had worked at 2 firms and has passed the SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

August 25, 2011 - January 7, 2015

AMERICAN EQUITY CAPITAL, INC.

BD
CRD#: 45288
WEST DES MOINES, IA
Past

September 15, 1998 - September 22, 2008

AMERICAN EQUITY CAPITAL, INC.

BD
CRD#: 45288
WEST DES MOINES, IA
Past

July 9, 1998 - September 29, 1998

FBL MARKETING SERVICES, LLC

BD
CRD#: 5309
WEST DES MOINES, IA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 1/7/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 7/8/1998
Investment Company Products/Variable Contracts Representative Examination

Current Firm

AE
AMERICAN EQUITY CAPITAL, INC.
AMERICAN EQUITY CAPITAL, INC. | AMERICAN EQUITY INVESTMENT CAPITAL, INC.

CRD#: 45288 / SEC#: , 8-51019

BD
Terminated by SEC on 04/24/2018
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Contact information

Main Address
Mailing Address
Phone number
Established
Iowa since 02/16/1998
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
AMERICAN EQUITY INVESTMENT LIFE HOLDING COMPANYOWNER
LAFOLLETTE, JULIE LYNNECHIEF FINANCIAL OFFICER2672221
WHITFIELD, HARLEY ALLEN JRCHIEF COMPLIANCE OFFICER1009715
WOOD, KIRBY KENTCHIEF EXECUTIVE OFFICER /CHAIRMAN OF THE BOARD1996855

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.

Company Information

AMERICAN EQUITY CAPITAL, INC.

CRD#: 45288

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