Robert E. Moss
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.
Robert Edward Moss was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1968. Robert had worked at 3 firms and has passed the Series 63, Series 3, Series 5, PC 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
April 8, 1982 - June 30, 1993
KIDDER, PEABODY & CO. INCORPORATED
September 26, 1978 - May 4, 1982
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 29, 1968 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 5
Date: 10/15/1981
Interest Rate Options ExaminationPC
Date: 9/8/1977
AMEX Put and Call ExamSeries 1
Date: 10/25/1968
Registered Representative ExaminationCurrent Firm
KIDDER, PEABODY & CO. INCORPORATED
CRD#: 7613 / SEC#: , 8-4831
Contact information
Documents
Red Flags
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