BM
Benjamin B. Moore
CITIZENS JMP SECURITIES
Charlotte, NC 28209
Some features on this profile are disabled
CRD#: 4413142
BM
Professional summary
Benjamin Battle Moore is a registered financial professional currently at CITIZENS JMP SECURITIES, LLC located in Charlotte, North Carolina.
Benjamin is registered as a RR (Registered Representative) and started their career in finance in 2001. Benjamin has worked at 5 firms and has passed the Series 63, Series 79TO, SIE and Series 7 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 Benjamin Battle Moore'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
August 1, 2023 - Present
CITIZENS JMP SECURITIES, LLC
Office #1: 4250 Congress Street Suite 300, Charlotte, NC 28209BD
CRD#: 22208
Charlotte, NC
Past
May 16, 2016 - August 1, 2023
CITIZENS CAPITAL MARKETS
BD
CRD#: 277073
CHARLOTTE, NC
Past
November 9, 2015 - May 16, 2016
CITIZENS SECURITIES, INC.
BD
CRD#: 39550
CHARLOTTE, NC
Past
April 14, 2005 - August 29, 2014
WELLS FARGO SECURITIES, LLC
BD
CRD#: 126292
CHARLOTTE, NC
Past
September 5, 2001 - March 23, 2005
J.P. MORGAN SECURITIES INC.
BD
CRD#: 18718
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(8/1/2023)
RR
Alaska(8/1/2023)
RR
Arizona(8/1/2023)
RR
Arkansas(8/1/2023)
RR
California(8/1/2023)
RR
Colorado(8/1/2023)
RR
Connecticut(8/1/2023)
RR
Delaware(8/1/2023)
RR
District of Columbia(8/1/2023)
RR
Florida(8/1/2023)
RR
Georgia(8/1/2023)
RR
Hawaii(8/1/2023)
RR
Idaho(8/1/2023)
RR
Illinois(8/1/2023)
RR
Indiana(8/1/2023)
RR
Iowa(8/1/2023)
RR
Kansas(8/1/2023)
RR
Kentucky(8/1/2023)
RR
Louisiana(8/1/2023)
RR
Maine(8/1/2023)
RR
Maryland(8/1/2023)
RR
Massachusetts(8/1/2023)
RR
Michigan(8/1/2023)
RR
Minnesota(8/1/2023)
RR
Mississippi(8/1/2023)
RR
Missouri(8/1/2023)
RR
Montana(8/1/2023)
RR
Nebraska(8/1/2023)
RR
Nevada(8/1/2023)
RR
New Hampshire(8/1/2023)
RR
New Jersey(8/1/2023)
RR
New Mexico(8/1/2023)
RR
New York(8/1/2023)
RR
North Carolina(8/1/2023)
RR
North Dakota(8/1/2023)
RR
Ohio(8/1/2023)
RR
Oklahoma(8/1/2023)
RR
Oregon(8/1/2023)
RR
Pennsylvania(8/1/2023)
RR
Rhode Island(8/1/2023)
RR
South Carolina(8/1/2023)
RR
South Dakota(8/1/2023)
RR
Tennessee(8/1/2023)
RR
Texas(8/1/2023)
RR
Utah(8/1/2023)
RR
Vermont(8/1/2023)
RR
Virginia(8/1/2023)
RR
Washington(8/1/2023)
RR
West Virginia(8/1/2023)
RR
Wisconsin(8/1/2023)
RR
Wyoming(8/1/2023)
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
CJ
CITIZENS JMP SECURITIES, LLC
CITIZENS | TRINITY CAPITAL | MITCHUM, JONES & TEMPLETON, INC. | JOLSON MERCHANT PARTNERS | JMP SECURITIES LLC | JMP SECURITIES | DH CAPITAL | CITIZENS M&A ADVISORY | CITIZENS JMP SECURITIES, LLC | CITIZENS JMP | CITIZENS CAPITAL MARKETS & ADVISORY | CITIZENS CAPITAL MARKETS
CRD#: 22208 / SEC#: , 8-39613
BD
Broker-Dealer Firm Regulated by FINRA (San Francisco 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
101 California Street Ste 1700, San Francisco, CA 94111
Mailing Address
101 California Street Ste 1700, San Francisco, CA 94111
Phone number
(415) 835-8900
Established
Delaware since 01/01/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JMP HOLDING LLC | PARENT COMPANY | |
| CONROY, WALTER IVOR | GENERAL COUNSEL | 6641487 |
| GREGORY, JOHN | PRESIDENT | 4600619 |
| JACKSON, RAYMOND SIVA | CHIEF FINANCIAL OFFICER | 5563363 |
| MANNING, SIMON STONE | SENIOR REGISTERED OPTIONS PRINCIPAL (SROP) | 1941279 |
| MCLAUGHLIN, BRENDAN | CHIEF COMPLIANCE OFFICER | 2562815 |
| O'DAY, JAMES CORTLAND | HEAD OF EQUITIES | 5618215 |
| SLADER, GAVIN WILLEY | HEAD OF INVESTMENT BANKING | 4130019 |
| SPURR, JEFFREY HOLMES | HEAD OF RESEARCH | 1384716 |
| SUCHY, GREGORY JOHN | CHIEF OPERATING OFFICER / PRINCIPAL OPERATIONS OFFICER | 5907019 |
| WHITEHEAD, AIDAN PETER | HEAD OF TRADING & SALES TRADING | 2474257 |
| XIAO, ZHUO VIVIAN XUAN | FINOP | 5121578 |
Disclosures
| Regulatory Event | 6 |
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.
