Bert J. Moerings
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.
Bert Joseph Moerings was a registered financial professional .
Bert is a previously registered financial professional and started their career in finance in 1978. Bert had worked at 12 firms and has passed the Series 65, Series 63, Series 79TO, Series 7TO, SIE, PC, Series 000 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 20, 2019 - January 20, 2024
SUTTER SECURITIES INCORPORATED
October 2, 2019 - November 21, 2019
SUTTER SECURITIES CLEARING, LLC
August 9, 2018 - May 27, 2021
CARL DOMINO INC.
April 20, 2017 - April 13, 2018
OPPENHEIMER & CO. INC.
April 19, 2017 - April 13, 2018
OPPENHEIMER & CO. INC.
May 8, 2010 - December 14, 2016
MANAGED ACCOUNT SERVICES, LLC
March 27, 2006 - May 12, 2010
JESUP & LAMONT SECURITIES CORP
March 19, 2003 - January 14, 2004
ADVEST, INC.
November 4, 2002 - December 14, 2016
INDEPENDENT PORTFOLIO CONSULTANTS, INC.
July 12, 1993 - March 6, 2006
ADVEST, INC.
October 3, 1988 - July 14, 1993
DOMINICK & DICKERMAN LLC
November 24, 1987 - October 3, 1988
DOMIK CORP.
December 3, 1986 - December 21, 1987
MONEY CONCEPTS CAPITAL CORP
December 13, 1978 - April 20, 1983
JW GENESIS CLEARING CORP.
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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationPC
Date: 10/18/1989
AMEX Put and Call ExamSeries 000
Date: 6/6/1974
General Securities Principal ExaminationSeries 1
Date: 6/6/1974
Registered Representative ExaminationCurrent Firm
SUTTER SECURITIES INCORPORATED
CRD#: 30770 / SEC#: , 8-45158
Contact information
FINRA licenses (50 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SUTTER SECURITIES GROUP INC (FORMERLY FINTECH GLOBAL MARKETS) | SHAREHOLDER | |
| BULL, ROBERT LEE IV | FINOP | 1521134 |
| CHOMATIL, NEHRU SUBRAMANIAN | CHIEF COMPLIANCE OFFICER | 2342004 |
| MALEY, ROBERT ANDREW | EXECUTIVE VICE PRESIDENT | 2442794 |
| MATTHEWS, GILBERT ELLIOTT | SR. MANAGING DIRECTOR, DIRECTOR, CHAIRMAN | |
| SMITH, LINCOLN JOSEPH JR | PRESIDENT, CEO | 2501422 |
Disclosures
| Regulatory Event | 1 |
| Bond | 1 |
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.
