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CM

Charles J. Moore

Some features on this profile are disabled
CRD#: 4525896
CM

Professional summary

Charles J Moore was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Charles is a previously registered financial professional and started their career in finance in 2005. Prior to being barred, Charles had worked at 1 firm, which includes ACHILLES SECURITIES LLC.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Charles Moore

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 7, 2005 - July 22, 2015

ACHILLES SECURITIES, LLC

BD
CRD#: 133542
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 10/10/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 7/22/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/31/2004
General Securities Representative Examination
General Industry/Product Exam
RR
Series 62
Date: 4/2/2003
Corporate Securities Limited Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/16/2004
General Securities Principal Examination

Current Firm

AS
ACHILLES SECURITIES, LLC
ACHILLES SECURITIES, LLC | CRUCIBLE CAPITAL GROUP, INC.

CRD#: 133542 / SEC#: , 8-66739

BD
Terminated by SEC on 08/31/2015
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 04/01/2015
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
MOORE, CHARLES JOWNER4525896
LIU, RANGRANGFINOP6114942
TSIGAKOS, JOHN WILLIAMCEO/PRESIDENT/CCO2670436

Disclosures

Regulatory Event5
Arbitration2

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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Company Information

ACHILLES SECURITIES, LLC

CRD#: 133542

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