Richard J. Moyer
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.
Richard John Moyer, who also goes by Rick Moyer, was a registered financial advisor .
Richard is a previously registered financial advisor and started their career in finance in 2004. Richard had worked at 5 firms and has passed the Series 66, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 18, 2012 - June 26, 2012
M&A SECURITIES GROUP, INC.
March 11, 2008 - March 24, 2009
TRUIST INVESTMENT SERVICES, INC.
March 3, 2008 - March 24, 2009
TRUIST INVESTMENT SERVICES, INC.
March 8, 2005 - January 24, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 8, 2005 - January 24, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 24, 2004 - February 10, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
January 20, 2004 - February 10, 2005
IDS LIFE INSURANCE COMPANY
January 20, 2004 - February 10, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
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
M&A SECURITIES GROUP, INC.
CRD#: 39999 / SEC#: , 8-48926
Contact information
FINRA licenses (48 States and Territories)
Documents
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.
