Frederick A. Moran
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.
Frederick Augustus Moran, who also goes by Fred Moran, was a registered financial professional .
Frederick is a previously registered financial professional and started their career in finance in 1971. Frederick had worked at 7 firms and has passed the Series 65, Series 63, Series 18, Series 1, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 24, 1987 - February 6, 1997
PHILLIP LOUIS TRADING, INC.
October 13, 1986 - July 22, 1987
CLG INVESTMENT COMPANY, INC.
June 1, 1983 - October 30, 1986
BROOKEHILL CAPITAL PARTNERS LIMITED
February 24, 1982 - July 18, 1983
G.RESEARCH, LLC
May 8, 1973 - July 1, 1977
CIBC WORLD MARKETS CORP.
March 23, 1971 - June 4, 1973
DEUTSCHE BANK SECURITIES INC.
February 11, 1971 - March 22, 1971
GOLDMAN SACHS & CO. LLC
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 18
Date: 5/15/1982
Securities Industry Rules and Regulations ExaminationSeries 1
Date: 2/8/1971
Registered Representative ExaminationCurrent Firm
PHILLIP LOUIS TRADING, INC.
CRD#: 19378 / SEC#: , 8-37365
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
| Civil 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.
