Rene A. Moreno

FHN FINANCIAL SECURITIES

Scottsdale, AZ 85254

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CRD#: 4522019

Professional summary

Rene Antonio Moreno is a registered financial professional currently at FHN FINANCIAL SECURITIES CORP. located in Scottsdale, Arizona.

Rene is registered as a RR (Registered Representative) and started their career in finance in 2002. Rene has worked at 5 firms and has passed the Series 63, Series 7TO, SIE, Series 50, Series 52 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Rene Antonio Moreno'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®

None

Experience

Current

May 16, 2022 - Present

FHN FINANCIAL SECURITIES CORP.

Office #1: 15169 N. Scottsdale Road, Scottsdale, AZ 85254

CRD#: 46346

Scottsdale, AZ

Past

December 18, 2020 - May 17, 2022

CREWS & ASSOCIATES, INC.

CRD#: 8052

Scottsdale, AZ

Past

April 16, 2018 - October 27, 2020

HILLTOP SECURITIES INC.

CRD#: 6220

PHOENIX, AZ

Past

February 20, 2013 - April 23, 2018

PIPER SANDLER & CO.

CRD#: 665

PHOENIX, AZ

Past

October 15, 2002 - December 23, 2008

RBC CAPITAL MARKETS, LLC

CRD#: 31194

PHOENIX, AZ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Arizona
(5/16/2022)

Texas
(5/16/2022)

Exams

State Security Law Exam

Series 63

Date: 12/20/2013

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 8/29/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 50

Date: 5/23/2017

Municipal Advisor Representative Qualification Exam

General Industry/Product Exam

Series 52

Date: 2/19/2013

Municipal Securities Representative Examination

General Industry/Product Exam

Series 7

Date: 10/14/2002

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

FHN FINANCIAL SECURITIES CORP.

FHN FINANCIAL SECURITIES CORP. | MIDWEST RESEARCH FIRST TENNESSEE SECURITIES CORP. | FTN FINANCIAL SECURITIES CORP | FIRST TENNESSEE SECURITIES CORPORATION | FIRST TENNESSEE SECURITIES CORP.

CRD#: 46346 / SEC#: , 8-51393

Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

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Contact information

Main Address

1000 Ridgeway Loop Road Suite 200, Memphis, TN 38120

Mailing Address

1000 Ridgeway Loop Road Suite 200, Memphis, TN 38120

Phone number

(901) 435-8080

Established

Tennessee since 10/30/1998

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
FIRST HORIZON BANK	SHAREHOLDER
BUCK, WILLIAM JAMES II	PRINCIPAL OPERATING OFFICER	3129662
DABROWSKI, MARK GERARD	CHIEF COMPLIANCE OFFICER	2065647
GRIFFIN, MARK DANIEL	SVP, RISK CONTROL MANAGER	7462222
JACKSON, JEFF BRIAN	SVP/ TRADING MANAGER	2777631
RITCHESON, DONALD ALLEN	PRINCIPAL FINANCIAL OFFICER / CFO	2360009
ROMANOW, TIMOTHY MARK	PRESIDENT/CEO	2533445
WADDELL, MICHAEL KNOX	EVP, DIRECTOR / CHIEF ADMINISTRATIVE OFFICER/SECRETARY	5657529

Disclosures

Regulatory Event	7
Arbitration	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.

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Firm Stability Insights

Rene A. Moreno

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Rene Antonio Moreno's CRS (Customer Relationship Summary).

Certified licenses

Experience

CREWS & ASSOCIATES, INC.

HILLTOP SECURITIES INC.

PIPER SANDLER & CO.

RBC CAPITAL MARKETS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/20/2013

Series 7TO

Date: 8/29/2019

SIE

Date: 10/1/2018

Series 50

Date: 5/23/2017

Series 52

Date: 2/19/2013

Series 7

Date: 10/14/2002

FINRA

Current Firm

FHN FINANCIAL SECURITIES CORP.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

FHN FINANCIAL SECURITIES CORP.

TRUST BUT VERIFY

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