Adolph E. Mora
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.
Adolph Edward Mora was a registered financial professional .
Adolph is a previously registered financial professional and started their career in finance in 1959. Adolph had worked at 3 firms and has passed the Series 1 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 20, 1977 - January 6, 1992
THOMAS GREEN SECURITIES, INC.
November 13, 1974 - April 5, 1976
CANTOR FITZGERALD & CO.
October 30, 1959 - October 18, 1974
P N MACINTYRE & 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 1
Date: 7/8/1957
Registered Representative ExaminationCurrent Firm
THOMAS GREEN SECURITIES, INC.
CRD#: 571 / SEC#: , 8-4760
Contact information
Documents
Disclosures
| Regulatory Event | 8 |
| Arbitration | 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.
