Maurice M. Carruthers
Professional summary
Maurice Merrell Carruthers, who also goes by Moe Carruthers, is a registered financial professional currently at IMC SECURITIES LLC located in Chicago, Illinois.
Maurice is registered as a RR (Registered Representative) and started their career in finance in 2004. Maurice has worked at 3 firms and has passed the Series 57TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Maurice Merrell Carruthers's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 16, 2012 - Present
IMC SECURITIES LLC
Office #1: 233 South Wacker Drive #4300, Chicago, IL 60606February 26, 2010 - May 20, 2011
LIQUID CAPITAL MARKETS, LLC
December 17, 2004 - December 31, 2008
GOLDMAN SACHS & CO. 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
Series 57TO
Date: 7/13/2020
Securities Trader ExamCboe BZX Exchange, Inc.
Cboe Exchange, Inc.
FINRA
Current Firm
IMC SECURITIES LLC
CRD#: 144874 / SEC#: , 8-67680
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
Red Flags
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