Robert Douglas Moffat
CFAProfessional Summary
Robert Douglas Moffat, CFA was a registered financial advisor. Robert was a previously registered financial professional and started their career in finance 1972 - 2013. Robert had worked at 11 firms and has passed the Series 63, Series 87, Series 16, Series 1, Series 28 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Credentials
Years of Experience
54 years in the financial services industry
Current & Past Employments
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Current Firm
MOFFAT CAPITAL, LLC | NANOTECH FINANCING SOLUTIONS, LLC | NANOSCIENCE CAPITAL, LLC
Contact Information
Established
Georgia since 08/29/2002Firm Type
Limited Liability CompanyFiscal Year End
DecemberDocuments
Direct owners and executive officers
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 87 — Research Analyst Exam - Part II Regulations Module
Passed Oct 2004About the Series 87 examSeries 1 — Registered Representative Examination
Passed Sep 1972Series 28 — Introducing Broker/Dealer Financial Operations Principal Examination
Passed Mar 2003About the Series 28 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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