Robert D. Moffat
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.
Robert Douglas Moffat, CFA was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1972. Robert had worked at 11 firms and has passed the Series 63, Series 87, Series 16, Series 1, Series 28 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
June 11, 2003 - April 30, 2013
MOFFAT CAPITAL, LLC
July 27, 2001 - July 24, 2002
TRUIST SECURITIES, INC.
April 19, 1989 - July 27, 2001
THE ROBINSON-HUMPHREY COMPANY, LLC
April 13, 1988 - August 16, 1988
OPPENHEIMER & CO. INC.
July 24, 1985 - April 13, 1988
FAHNESTOCK INTERNATIONAL INC.
March 7, 1984 - July 10, 1985
THOMSON MCKINNON SECURITIES INC.
July 25, 1979 - December 12, 1983
FIRST MANHATTAN SECURITIES LLC
May 5, 1977 - August 2, 1977
HORNBLOWER, WEEKS, NOYES & TRASK INCORPORATED
April 21, 1976 - May 5, 1977
SPENCER TRASK & CO. INCORPORATED
November 8, 1973 - April 18, 1976
NESBITT THOMSON NEW YORK CORPORATION
September 27, 1972 - September 3, 1973
KIDDER, PEABODY & CO., INCORPORATED
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 1
Date: 9/25/1972
Registered Representative ExaminationSeries 28
Date: 3/5/2003
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
MOFFAT CAPITAL, LLC
CRD#: 125781 / SEC#: , 8-65820
Contact information
Documents
Red Flags
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