John A. 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.
John Albert Moore was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1973. John had worked at 8 firms and has passed the SIE, PC, Series 1, Series 4, Series 24 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
September 4, 2002 - October 30, 2015
J.P. TURNER & COMPANY, L.L.C.
April 13, 1988 - October 1, 2002
OPPENHEIMER & CO. INC.
June 5, 1987 - April 13, 1988
FAHNESTOCK INTERNATIONAL INC.
July 16, 1984 - July 8, 1987
MOORE & SCHLEY, CAMERON & CO.
August 11, 1980 - July 24, 1984
ADVEST, INC.
January 30, 1979 - September 8, 1980
PRUDENTIAL EQUITY GROUP, LLC
February 24, 1978 - February 23, 1979
MORGAN STANLEY DW INC.
October 10, 1973 - February 24, 1978
REYNOLDS SECURITIES, 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
PC
Date: 6/1/1977
AMEX Put and Call ExamSeries 1
Date: 10/8/1973
Registered Representative ExaminationSeries 12
Date: 12/20/1980
NYSE Branch Manager ExaminationCurrent Firm
J.P. TURNER & COMPANY, L.L.C.
CRD#: 43177 / SEC#: , 8-50156
Contact information
Documents
Disclosures
| Regulatory Event | 30 |
| Arbitration | 12 |
Red Flags
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