Dennis J. Mooradian
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.
Dennis Jack Mooradian, who also goes by Dennis J Mooradian, Dennis Mooradian, was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1971. Dennis had worked at 16 firms and has passed the Series 63, SIE, Series 5, PC, Series 1, Series 53, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 13, 2017 - August 29, 2018
FINANCIAL WEST GROUP
June 28, 2011 - July 10, 2015
U.S. BANCORP ADVISORS, LLC
February 15, 2011 - June 23, 2011
MERRIMAN CAPITAL, INC.
December 18, 2003 - March 16, 2009
COMERICA SECURITIES
October 8, 2002 - March 3, 2004
WELLS FARGO INVESTMENT SERVICES, LLC
June 8, 2001 - October 8, 2001
WELLS FARGO SECURITIES INC.
December 13, 2000 - December 17, 2003
WELLS FARGO INVESTMENTS, LLC
September 13, 2000 - December 12, 2000
WELLS FARGO INVESTMENTS, LLC
March 6, 2000 - December 13, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
April 6, 1998 - December 17, 2003
WELLS FARGO INVESTMENTS, LLC
May 28, 1996 - May 2, 2001
WELLS FARGO SECURITIES INC.
February 15, 1988 - May 22, 1996
LEHMAN BROTHERS INC.
October 25, 1977 - February 15, 1988
E. F. HUTTON & COMPANY INC
September 16, 1977 - January 3, 1978
PRUDENTIAL EQUITY GROUP, LLC
August 27, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
April 11, 1975 - August 27, 1976
HALSEY, STUART & CO., INC.
February 27, 1973 - April 17, 1975
BACHE & CO., INCORPORATED
September 26, 1972 - April 3, 1973
RONEY & CO. L.L.C.
February 17, 1971 - October 24, 1972
MARANTETTE & CO
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 5
Date: 12/11/1981
Interest Rate Options ExaminationPC
Date: 2/21/1978
AMEX Put and Call ExamSeries 1
Date: 2/11/1971
Registered Representative ExaminationCurrent Firm
FINANCIAL WEST GROUP
CRD#: 16668 / SEC#: 801-57393, 8-34448
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 73 |
| Arbitration | 7 |
Red Flags
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