Tracy D. Moors
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.
Tracy David Moors was a registered financial professional .
Tracy is a previously registered financial professional and started their career in finance in 1999. Tracy had worked at 11 firms and has passed the Series 63, SIE, Series 25, Series 55, 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
December 5, 2017 - February 16, 2018
MAREX CAPITAL MARKETS INC.
March 7, 2016 - April 6, 2017
SEAPORT GLOBAL SECURITIES LLC
December 20, 2013 - February 23, 2016
OLIVETREE FINANCIAL, LLC
January 2, 2013 - December 17, 2013
BGC FINANCIAL, L.P.
April 23, 2012 - December 4, 2012
LOUIS CAPITAL MARKETS, LLC
February 8, 2012 - May 25, 2012
OPAL SECURITIES, INC.
February 5, 2007 - June 10, 2011
LOUIS CAPITAL MARKETS, LLC
August 9, 2005 - December 19, 2006
BLUE POINT SECURITIES INC.
January 14, 2005 - September 2, 2005
FIS BROKERAGE & SECURITIES SERVICES LLC
October 15, 2003 - December 15, 2004
TAFFERER TRADING, LLC
December 7, 2000 - September 12, 2002
CITICORP INVESTMENT SERVICES
April 5, 1999 - July 6, 2001
ARJENT LTD.
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
Series 25
Date: 10/17/2006
NYSE Trading Assistant ExaminationSeries 55
Date: 12/22/2003
Limited Representative-Equity Trader ExamCurrent Firm
MAREX CAPITAL MARKETS INC.
CRD#: 161014 / SEC#: , 8-69039
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MAREX SERVICES INC. | DIRECT OWNER | |
| BATES, CHRISTOPHER | FINOP, CFO, PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 5648556 |
| BERNICKY, JENNIFER KAISER | CHIEF OPERATING OFFICER, DIRECTOR | 4781625 |
| CHERRY, ELIN LYNNE | CHIEF COMPLIANCE OFFICER | 2430837 |
| FALCO, CARMINE DOMENICO | PRINCIPAL OPERATIONS OFFICER | 2782798 |
| HOOD, STEPHEN MICHAEL | DIRECTOR | 3139127 |
| VITTAL, MAHESH RAM | PRES. & CEO, DIRECTOR | 4593014 |
Disclosures
| Regulatory Event | 42 |
Red Flags
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