DM
Dietrich Moor
REGIONS SECURITIES LLC
Charlotte, NC 28202
Some features on this profile are disabled
CRD#: 4394797
DM
Professional summary
Dietrich Moor, who also goes by Harker Dietrich Moor, is a registered financial professional currently at REGIONS SECURITIES LLC located in Charlotte, North Carolina.
Dietrich is registered as a RR (Registered Representative) and started their career in finance in 2001. Dietrich has worked at 6 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Harker Dietrich Moor
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 Dietrich Moor'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
September 16, 2016 - Present
REGIONS SECURITIES LLC
Office #1: 615 South College Street, Charlotte, NC 28202BD
CRD#: 159475
Charlotte, NC
Past
January 25, 2012 - April 6, 2016
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
NEW YORK, NY
Past
April 18, 2006 - October 14, 2011
WELLS FARGO SECURITIES, LLC
BD
CRD#: 126292
CHARLOTTE, NC
Past
March 31, 2004 - April 27, 2006
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
NEW YORK, NY
Past
August 6, 2002 - March 16, 2004
LAZARD FRERES & CO. LLC
BD
CRD#: 2528
NEW YORK, NY
Past
May 14, 2001 - July 16, 2002
DRESDNER KLEINWORT WASSERSTEIN, LLC
BD
CRD#: 22068
NEW YORK, NY
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(9/16/2016)
RR
Alaska(9/16/2016)
RR
Arizona(9/16/2016)
RR
Arkansas(9/16/2016)
RR
California(9/16/2016)
RR
Colorado(9/16/2016)
RR
Connecticut(9/16/2016)
RR
Delaware(9/16/2016)
RR
District of Columbia(9/16/2016)
RR
Florida(9/16/2016)
RR
Georgia(9/16/2016)
RR
Hawaii(9/16/2016)
RR
Idaho(9/16/2016)
RR
Illinois(9/16/2016)
RR
Indiana(9/16/2016)
RR
Iowa(9/16/2016)
RR
Kansas(9/16/2016)
RR
Kentucky(9/16/2016)
RR
Louisiana(9/16/2016)
RR
Maine(9/16/2016)
RR
Maryland(9/16/2016)
RR
Massachusetts(9/16/2016)
RR
Michigan(9/16/2016)
RR
Minnesota(9/16/2016)
RR
Mississippi(9/16/2016)
RR
Missouri(9/16/2016)
RR
Montana(9/16/2016)
RR
Nebraska(9/16/2016)
RR
Nevada(9/16/2016)
RR
New Hampshire(9/16/2016)
RR
New Jersey(9/16/2016)
RR
New Mexico(9/16/2016)
RR
New York(9/16/2016)
RR
North Carolina(9/16/2016)
RR
North Dakota(9/16/2016)
RR
Ohio(9/16/2016)
RR
Oklahoma(9/16/2016)
RR
Oregon(9/16/2016)
RR
Pennsylvania(9/16/2016)
RR
Rhode Island(9/16/2016)
RR
South Carolina(9/16/2016)
RR
South Dakota(9/16/2016)
RR
Tennessee(9/16/2016)
RR
Texas(9/16/2016)
RR
Utah(9/16/2016)
RR
Vermont(9/16/2016)
RR
Virginia(9/16/2016)
RR
Washington(9/16/2016)
RR
West Virginia(9/16/2016)
RR
Wisconsin(9/16/2016)
RR
Wyoming(9/16/2016)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
RS
REGIONS SECURITIES LLC
REGIONS SECURITIES | REGIONS SECURITIES LLC
CRD#: 159475 / SEC#: , 8-68990
BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1180 W Peachtree Street, Nw Suite 1400, Atlanta, GA 30309
Mailing Address
1180 W Peachtree Street, Nw Suite 1400, Atlanta, GA 30309
Phone number
(404) 279-7400
Established
Delaware since 10/12/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RFC FINANCIAL SERVICES HOLDING LLC | PARENT | |
| AMIN, RITVIG NIPENDRA | CHAIRMAN OF THE BOARD & DIRECTOR | 2901218 |
| GIARDINO, NEIL | CEO, PRESIDENT AND DIRECTOR | 2428962 |
| HOLLOWAY, GLENN CHRISTOPHER | FINOP, CFO, PFO, POO & DIRECTOR | 4566759 |
| MAGGIORE, JILL WRIGHT | CHIEF COMPLIANCE OFFICER & DIRECTOR | 1001068 |
| MAXWELL, JASON MATTHEW | CHIEF LEGAL OFFICER & DIRECTOR | 5997125 |
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.
