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SM

Scott R. Moore

TRADESTATION SECURITIES
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 5120710
SM

Professional summary

Scott Robinson Moore is a registered financial professional currently at TRADESTATION SECURITIES, INC. located in Chicago, Illinois.

Scott is registered as a RR (Registered Representative) and started their career in finance in 2006. Scott has worked at 9 firms and has passed the Series 63, Series 3, Series 57TO, Series 52TO, SIE, Series 7, Series 53 and Series 24 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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Scott Robinson Moore's CRS (Customer Relationship Summary).
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

August 30, 2021 - Present

TRADESTATION SECURITIES, INC.

Office #1: 120 South Riverside Plaza Suite 1650, Chicago, IL 60606
BD
CRD#: 39473
Chicago, IL
Past

December 6, 2018 - April 9, 2021

BMO HARRIS FINANCIAL ADVISORS, INC.

BD
CRD#: 137115
CHICAGO, IL
Past

March 25, 2017 - November 30, 2018

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
CHARLOTTE, NC
Past

January 28, 2014 - January 2, 2015

NEW ENGLAND SECURITIES

BD
CRD#: 615
CHARLOTTE, NC
Past

January 28, 2014 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
CHARLOTTE, NC
Past

February 15, 2012 - January 3, 2014

LPL FINANCIAL LLC

BD
CRD#: 6413
CHARLOTTE, NC
Past

October 23, 2009 - May 4, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
CHARLOTTE, NC
Past

October 17, 2008 - October 23, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
CHARLOTTE, NC
Past

September 26, 2006 - July 11, 2008

E*TRADE SECURITIES LLC

BD
CRD#: 29106
CHARLOTTE, NC

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
(8/30/2021)
RR
Alaska
(8/30/2021)
RR
Arizona
(8/30/2021)
RR
Arkansas
(8/30/2021)
RR
California
(8/30/2021)
RR
Colorado
(8/30/2021)
RR
Connecticut
(8/30/2021)
RR
Delaware
(8/30/2021)
RR
District of Columbia
(8/30/2021)
RR
Florida
(8/30/2021)
RR
Georgia
(8/30/2021)
RR
Hawaii
(8/30/2021)
RR
Idaho
(8/30/2021)
RR
Illinois
(8/30/2021)
RR
Indiana
(8/30/2021)
RR
Iowa
(8/30/2021)
RR
Kansas
(8/30/2021)
RR
Kentucky
(8/30/2021)
RR
Louisiana
(8/30/2021)
RR
Maine
(8/30/2021)
RR
Maryland
(8/30/2021)
RR
Massachusetts
(8/30/2021)
RR
Michigan
(8/30/2021)
RR
Minnesota
(8/30/2021)
RR
Mississippi
(8/30/2021)
RR
Missouri
(8/30/2021)
RR
Montana
(8/30/2021)
RR
Nebraska
(8/30/2021)
RR
Nevada
(8/30/2021)
RR
New Hampshire
(8/30/2021)
RR
New Jersey
(8/30/2021)
RR
New Mexico
(8/30/2021)
RR
New York
(8/30/2021)
RR
North Carolina
(8/30/2021)
RR
North Dakota
(8/30/2021)
RR
Ohio
(8/30/2021)
RR
Oklahoma
(8/30/2021)
RR
Oregon
(8/30/2021)
RR
Pennsylvania
(8/30/2021)
RR
Puerto Rico
(5/2/2022)
RR
Rhode Island
(8/30/2021)
RR
South Carolina
(8/30/2021)
RR
South Dakota
(8/30/2021)
RR
Tennessee
(8/30/2021)
RR
Texas
(8/30/2021)
RR
Utah
(8/30/2021)
RR
Vermont
(8/30/2021)
RR
Virginia
(8/30/2021)
RR
Washington
(8/30/2021)
RR
West Virginia
(8/30/2021)
RR
Wisconsin
(8/30/2021)
RR
Wyoming
(8/30/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 10/19/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 5/18/2023
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/13/2023
Securities Trader Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/25/2006
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 2/3/2020
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/4/2016
General Securities Principal Examination
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

TS
TRADESTATION SECURITIES, INC.
ONLINE TRADING INC.COM | TRADESTATION SECURITIES, INC. | TRADESTATION SECURITIES | TRADESTATION | ONLINETRADNG.COM | ONLINETRADINGINC.COM CORP | ONLINETRADING.COM | ONLINETRADEINGINC.COM CORP. | ONLINE TRADING, INC.

CRD#: 39473 / SEC#: , 8-48711

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
8050 Sw 10th Street Suite 2000, Plantation, FL 33324
Mailing Address
8050 Sw 10th Street Suite 2000, Plantation, FL 33324
Phone number
(954) 652-7900
Established
Florida since 09/07/1995
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
TRADESTATION GROUP, INC.OWNER - PARENT CORPORATION
BOLEK, JOHN MITCHELLPRINCIPAL OPERATIONS OFFICER2363046
KOROTKIY, PETERPRESIDENT & CHIEF OPERATING OFFICER2706102
MORMILE-WOLPER, MYRA CHRISTINEGENERAL COUNSEL AND ASSISTANT SECRETARY6753154
ROJEK, JAMES HCHIEF FINANCIAL OFFICER & PRINCIPAL FINANCIAL OFFICER3096214
WALTON, HERBERTCHIEF COMPLIANCE OFFICER4030847

Disclosures

Regulatory Event28
Arbitration4

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.

Company Information

TRADESTATION SECURITIES, INC.

CRD#: 39473Chicago, IL 60606

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