Kwesi A. Moore
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.
Kwesi Aggrey Moore, who also goes by John Moore, K.c. Moore, Steve Moore, was a registered financial professional .
Kwesi is a previously registered financial professional and started their career in finance in 2000. Kwesi had worked at 10 firms and has passed the Series 63, SIE 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
January 17, 2013 - August 5, 2015
OLSON, CROSS & ALAMO LLC
March 3, 2010 - December 19, 2012
J.H. DARBIE & CO., INC.
September 27, 2006 - December 4, 2008
NATIONAL SECURITIES CORPORATION
July 19, 2005 - February 16, 2006
BRILL SECURITIES, INC.
May 3, 2005 - July 30, 2005
GUNNALLEN FINANCIAL, INC
March 16, 2004 - April 19, 2005
FIRST HUDSON FINANCIAL GROUP, INC.
July 12, 2002 - October 8, 2002
DELTA ASSET MANAGEMENT COMPANY, LLC
October 5, 2000 - July 2, 2002
HORNBLOWER & WEEKS, INC.
July 18, 2000 - September 27, 2000
MILLENNIUM SECURITIES CORP.
January 24, 2000 - May 16, 2000
JOSEPH STEVENS & CO., 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
OLSON, CROSS & ALAMO LLC
CRD#: 157249 / SEC#: , 8-68841
Contact information
Documents
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.
