John T. 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 Thomas Moore was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1967. John had worked at 7 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 20, 2013 - December 31, 2013
WILLOW COVE INVESTMENT GROUP, INC.
February 4, 2009 - March 14, 2013
R.W. TOWT & ASSOCIATES
November 21, 1996 - February 12, 2009
HORNOR, TOWNSEND & KENT, LLC
March 6, 1987 - August 1, 1995
TRANSAMERICA SECURITIES SALES CORPORATION
November 20, 1984 - December 3, 1996
TRANSAMERICA FINANCIAL ADVISORS, INC.
December 15, 1977 - May 14, 1984
PROVIDENT MARKETING CORPORATION
October 16, 1967 - May 16, 1985
LINCOLN FINANCIAL DISTRIBUTORS, 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: 9/19/1967
Registered Representative ExaminationCurrent Firm
WILLOW COVE INVESTMENT GROUP, INC.
CRD#: 107824 / SEC#: , 8-53062
Contact information
FINRA licenses (12 States and Territories)
Disclosures
| Regulatory Event | 1 |
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.
