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SM

Stephen L. Moore

LEVEL MARKETS
Boston, MA 02110
Some features on this profile are disabled
CRD#: 5236624
SM

Professional summary

Stephen Lewis Moore is a registered financial professional currently at LEVEL MARKETS, LLC located in Boston, Massachusetts.

Stephen is registered as a RR (Registered Representative) and started their career in finance in 2022. Stephen has worked at 2 firms and has passed the Series 63, Series 57TO, Series 7TO and SIE exams.

top-8-questions

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 Stephen Lewis Moore'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

November 13, 2023 - Present

LEVEL MARKETS, LLC

Office #1: 99 Summer Street Suite 1700, Boston, MA 02110
BD
CRD#: 171752
Boston, MA
Past

January 31, 2022 - September 26, 2022

INSTINET, LLC

BD
CRD#: 7897
NEW YORK, NY

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
Massachusetts
(11/13/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 8/19/2023
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 5/8/2025
Securities Trader Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/31/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 8/22/2020
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

LM
LEVEL MARKETS, LLC
BEACON TRADING & ANALYTICS LLC | LUMINEX TRADING & ANALYTICS LLC | LEVEL MARKETS, LLC | KEZAR TRADING, LLC

CRD#: 171752 / SEC#: , 8-69476

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

Main Address
99 Summer Street Suite 1700, Boston, MA 02110
Mailing Address
99 Summer Street Suite 1700, Boston, MA 02110
Phone number
(617) 286-8080
Established
Delaware since 04/28/2014
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (15 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
LEVEL HOLDINGS, LLCOWNER
DOLAN, JAMES CHRISTOPHERCHIEF COMPLIANCE OFFICER3219968
HAGEN, DAVID WALTERCHIEF PRODUCT OFFICER2101752
LINARES, JOHN FITZGERALDGENERAL COUNSEL, CORPORATE SECRETARY3104547
MIELE, STEPHEN RCHIEF EXECUTIVE OFFICER2645590
STUPAY, MICHAEL ELLIOTFINOP,PRINCIPAL OPERATIONS OFFICER, PRINCIPAL FINANCIAL OFFICER2287906

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

LEVEL MARKETS, LLC

CRD#: 171752Boston, MA 02110

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