DM
Dorian R. Moros
INSPEREX LLC
Delray Beach, FL 33483
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CRD#: 4163765
DM
Professional summary
Dorian Roman Moros is a registered financial professional currently at INSPEREX LLC located in Delray Beach, Florida.
Dorian is registered as a RR (Registered Representative) and started their career in finance in 2000. Dorian has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Dorian Roman Moros's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 9, 2014 - Present
INSPEREX LLC
Office #1: 25 Se 4th Avenue Suite 400, Delray Beach, FL 33483BD
CRD#: 101420
Delray Beach, FL
Past
June 9, 2014 - November 28, 2018
INCAPITAL DISTRIBUTORS LLC
BD
CRD#: 156622
DELRAY BEACH, FL
Past
January 10, 2006 - June 3, 2014
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
SCHUAMBURG, IL
Past
January 10, 2006 - June 3, 2014
CETERA FINANCIAL SPECIALISTS LLC
BD
CRD#: 10358
SCHAUMBURG, IL
Past
July 6, 2005 - December 21, 2005
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
PARK RIDGE, IL
Past
July 6, 2005 - December 21, 2005
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
PARK RIDGE, IL
Past
April 21, 2003 - July 6, 2005
BANC ONE SECURITIES CORPORATION
RIA
CRD#: 16999
PARK RIDGE, IL
Past
April 21, 2003 - July 6, 2005
BANC ONE SECURITIES CORPORATION
BD
CRD#: 16999
CHICAGO, IL
Past
April 20, 2000 - March 11, 2003
AMERIPRISE ADVISOR SERVICES, INC.
BD
CRD#: 5979
DETROIT, MI
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(6/9/2014)
RR
Alaska(6/9/2014)
RR
Arizona(6/9/2014)
RR
Arkansas(6/9/2014)
RR
California(6/9/2014)
RR
Colorado(6/9/2014)
RR
Connecticut(6/9/2014)
RR
Delaware(6/9/2014)
RR
District of Columbia(6/9/2014)
RR
Florida(6/9/2014)
RR
Georgia(6/9/2014)
RR
Hawaii(6/9/2014)
RR
Idaho(6/9/2014)
RR
Illinois(6/9/2014)
RR
Indiana(6/9/2014)
RR
Iowa(6/9/2014)
RR
Kansas(6/9/2014)
RR
Kentucky(6/9/2014)
RR
Louisiana(6/9/2014)
RR
Maine(6/9/2014)
RR
Maryland(6/9/2014)
RR
Massachusetts(6/9/2014)
RR
Michigan(6/9/2014)
RR
Minnesota(6/9/2014)
RR
Mississippi(6/9/2014)
RR
Missouri(6/9/2014)
RR
Montana(6/9/2014)
RR
Nebraska(6/9/2014)
RR
Nevada(6/9/2014)
RR
New Hampshire(6/9/2014)
RR
New Jersey(6/9/2014)
RR
New Mexico(6/9/2014)
RR
New York(6/9/2014)
RR
North Carolina(6/9/2014)
RR
North Dakota(6/9/2014)
RR
Ohio(6/9/2014)
RR
Oklahoma(6/9/2014)
RR
Oregon(6/9/2014)
RR
Pennsylvania(6/9/2014)
RR
Puerto Rico(6/9/2014)
RR
Rhode Island(6/9/2014)
RR
South Carolina(6/9/2014)
RR
South Dakota(6/9/2014)
RR
Tennessee(6/9/2014)
RR
Texas(6/9/2014)
RR
Utah(6/9/2014)
RR
Vermont(6/9/2014)
RR
Virgin Islands(6/9/2014)
RR
Virginia(6/9/2014)
RR
Washington(6/9/2014)
RR
West Virginia(6/9/2014)
RR
Wisconsin(6/9/2014)
RR
Wyoming(6/9/2014)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
IL
INSPEREX LLC
INCAPITAL | INTEGRATED INVESTMENTS, L.L.C. | INTEGRATED CAPITAL, LLC | INSPEREX LLC | INSPEREX | INCAPITAL, LLC | INCAPITAL LLC
CRD#: 101420 / SEC#: , 8-52081
BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information
Main Address
25 Se 4th Avenue Suite 400, Delray Beach, FL 33483
Mailing Address
233 South Wacker Drive Suite 4400, Chicago, IL 60606
Phone number
(312) 379-3700
Established
Delaware since 09/01/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INSPEREX HOLDINGS LLC | MEMBER: VOTING | |
| BUSSCHER, ARNOLD BRADLEY | CHIEF ADMINSTRATIVE OFFICER AND GENERAL COUNSEL | 2213934 |
| CARRELS, CHRISTINE ANN | CHIEF MARKETING OFFICER | 6651750 |
| DEEG, ADITI DAVARE | CHIEF FINANCIAL OFFICER; PRINCIPAL FINANCIAL OFFICER; PRINCIPAL OPERATIONS OFFICER; FIN/OP | 4279152 |
| ELLIOTT, LAURA SUE | PRESIDENT | 2125558 |
| MITCHELL, SCOTT ALEXANDER | CHIEF EXECUTIVE OFFICER | 4717597 |
| NICHOLSON, MARSHALL ALLEN | HEAD OF STRATEGIC INITIATIVES | 4585471 |
| PAPAGIANNIS, JAMES JOHN | CHIEF COMPLIANCE OFFICER & AMLCO | 2449960 |
| RHODES, DERYK TREVOR | HEAD OF WEALTH MANAGEMENT SOLUTIONS | 4157411 |
| TOLAR, JOHN M | HEAD OF FIXED INCOME SALES & TRADING | 3075402 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
INSPEREX LLC
CRD#: 101420Delray Beach, FL 33483TRUST BUT VERIFY
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