Terrence P. 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.
Terrence Patrick Moran, who also goes by Terry Moran, was a registered financial professional .
Terrence is a previously registered financial professional and started their career in finance in 1971. Terrence had worked at 7 firms and has passed the Series 63, Series 6, Series 5, Series 1, Series 53, Series 4 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 13, 2000 - December 31, 2001
SLD AMERICA EQUITIES, INC.
January 16, 1990 - November 1, 1990
A. T. BROD & CO. INC.
May 12, 1989 - August 8, 1989
D.E. FREY & COMPANY, INC.
May 25, 1988 - March 28, 1989
R.B. MARICH, INC.
December 4, 1972 - February 4, 1988
COLUMBINE SECURITIES, INC.
August 4, 1971 - January 9, 1973
LAVAN & COMPANY
May 5, 1971 - August 29, 1971
BOETTCHER & COMPANY, 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 5
Date: 12/12/1981
Interest Rate Options ExaminationSeries 1
Date: 4/21/1971
Registered Representative ExaminationSeries 00
Date: 10/25/1972
General Securities Principal ExaminationCurrent Firm
SLD AMERICA EQUITIES, INC.
CRD#: 36259 / SEC#: , 8-47089
Contact information
FINRA licenses (46 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITY LIFE OF DENVER INSURANCE COMPANY | PARENT OF BROKER/DEALER | |
| ANDERSON, KELLY MARIE | DEPUTY COMPLIANCE OFFICER | 1819119 |
| BURNS, BRANDI JO | PRESIDENT | 5862366 |
| DIXIT, ANURAKT | CHAIR/DIRECTOR | 8029030 |
| ESLINGER, CHAD MICHAEL | CHIEF COMPLIANCE OFFICER | 4182299 |
| KILIAN, CONRAD JOHANN | FINANCIAL AND OPERATIONS PRINCIPAL | 6214509 |
| SOCHA, KEVIN ROBERT | DIRECTOR | 7241694 |
| WIESE, AMY JO | DIRECTOR | 5928677 |
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.
