Heath A. Moore
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.
Heath Aaron Moore was a registered financial professional .
Heath is a previously registered financial professional and started their career in finance in 2001. Heath had worked at 4 firms and has passed the Series 63, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 2, 2009 - September 18, 2012
AMERICAN GENERAL EQUITY SERVICES CORPORATION
June 19, 2006 - September 17, 2007
AMERICAN GENERAL SECURITIES INCORPORATED
February 26, 2002 - June 16, 2006
AMERICAN GENERAL DISTRIBUTORS, INC.
August 27, 2001 - February 25, 2002
THE VARIABLE ANNUITY MARKETING COMPANY
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
Current Firm
AMERICAN GENERAL EQUITY SERVICES CORPORATION
CRD#: 5435 / SEC#: , 8-15847
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERICAN GENERAL LIFE INSURANCE COMPANY | OWNER | |
| BLEWS, LAURENCE EUGENE | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, DIRECTOR | 1958916 |
| FORTIN, MARY JANE BARTOLOTTA | CHAIRMAN, DIRECTOR | 4648706 |
| GATESMAN, RICHARD JOHN II | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 2162534 |
| JENNINGS, KYLE | SECRETARY | |
| OSMONSON, DEANNA DEE | VICE PRESIDENT, ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 1961054 |
| REINER, JOHN JAY | TREASURER, CONTROLLER, FINOP | 4052196 |
Disclosures
| Regulatory Event | 5 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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