Benjamin H. Moore
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.
Benjamin Huger Rutledge Moore, who also goes by Benjamin Huger Moore, Rut Moore, was a registered financial professional .
Benjamin is a previously registered financial professional and started their career in finance in 1969. Benjamin had worked at 3 firms and has passed the Series 63, Series 1, Series 4, Series 40 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 12, 1989 - August 30, 1999
J.C. BRADFORD & CO.
March 15, 1989 - March 30, 1989
J.C. BRADFORD & CO.
October 14, 1988 - March 9, 1989
WACHOVIA SECURITIES, INC.
May 29, 1969 - October 14, 1988
JOHNSON, LANE, SPACE, SMITH & CO., INC.
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: 7/29/1959
Registered Representative ExaminationSeries 40
Date: 5/14/1969
Registered Principal ExaminationSeries 12
Date: 6/21/1961
NYSE Branch Manager ExaminationCurrent Firm
J.C. BRADFORD & CO.
CRD#: 1287 / SEC#: , 8-3953
Contact information
Documents
Disclosures
| Regulatory Event | 35 |
| Civil Event | 2 |
| Arbitration | 7 |
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.
