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EM

Erin L. Moretz

CEROS FINANCIAL SERVICES
Rockville, MD 20850
Some features on this profile are disabled
CRD#: 5311854
EM

Professional summary

Erin Livingston Moretz, who also goes by Erin Leigh Livingston, Erin Leigh Moretz, is a registered financial professional currently at CEROS FINANCIAL SERVICES, INC. located in Rockville, Maryland.

Erin is registered as a RR (Registered Representative) and started their career in finance in 2007. Erin has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 3, Series 22, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Erin Leigh Livingston | Erin Leigh Moretz

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 Erin Livingston Moretz'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

July 27, 2022 - Present

CEROS FINANCIAL SERVICES, INC.

Office #1: 1445 Research Boulevard Suite 530, Rockville, MD 20850
BD
CRD#: 37869
Rockville, MD
Past

January 27, 2022 - June 10, 2022

BROOKWOOD SECURITIES PARTNERS, LLC

BD
CRD#: 35187
Fairfax, VA
Past

May 7, 2013 - September 10, 2021

BROOKWOOD SECURITIES PARTNERS, LLC

BD
CRD#: 35187
Fairfax, VA
Past

October 4, 2010 - December 3, 2012

STEBEN & COMPANY, LLC

BD
CRD#: 117808
ROCKVILLE, MD
Past

October 5, 2009 - August 2, 2010

DIRECTED SERVICES LLC

RIA
CRD#: 21675
WEST CHESTER, PA
Past

August 15, 2007 - August 2, 2010

DIRECTED SERVICES LLC

BD
CRD#: 21675
WEST CHESTER, PA

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
Alaska
(7/27/2022)
RR
Arizona
(7/27/2022)
RR
Arkansas
(7/27/2022)
RR
California
(7/27/2022)
RR
Colorado
(7/27/2022)
RR
Connecticut
(7/27/2022)
RR
Delaware
(7/27/2022)
RR
District of Columbia
(7/27/2022)
RR
Florida
(7/27/2022)
RR
Georgia
(7/27/2022)
RR
Illinois
(7/27/2022)
RR
Iowa
(7/27/2022)
RR
Maryland
(7/27/2022)
RR
Massachusetts
(7/27/2022)
RR
Minnesota
(7/27/2022)
RR
Missouri
(7/27/2022)
RR
Nevada
(7/27/2022)
RR
New Jersey
(7/27/2022)
RR
New Mexico
(7/27/2022)
RR
New York
(7/27/2022)
RR
North Carolina
(7/27/2022)
RR
Ohio
(7/28/2022)
RR
Pennsylvania
(7/27/2022)
RR
South Carolina
(7/27/2022)
RR
Texas
(7/27/2022)
RR
Utah
(7/27/2022)
RR
Vermont
(7/27/2022)
RR
Virginia
(7/27/2022)
RR
Washington
(7/27/2022)
RR
Wisconsin
(7/27/2022)

Exams

State Security Law Exam
IAR
Series 65
Date: 10/2/2009
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/21/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/16/2011
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 10/20/2010
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 22
Date: 10/2/2010
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 8/14/2007
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/29/2023
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

CF
CEROS FINANCIAL SERVICES, INC.
ASSET MANAGEMENT SERVICES | FORTE CAPITAL GROUP | CEROS FINANCIAL SERVICES, INC. | CEROS FINANCIAL ADVISORS | CEROS CAPITAL MARKETS | CEROS BROKER SERVICE, INC. | ATLANTIC PARTNERS

CRD#: 37869 / SEC#: , 8-47955

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

Main Address
1445 Research Boulevard Suite 530, Rockville, MD 20850
Mailing Address
1445 Research Boulevard Suite 530, Rockville, MD 20850
Phone number
(866) 842-3356
Established
Massachusetts since 09/30/1994
Firm type
Corporation
Fiscal year end
December
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#
DGB HOLDINGS, LLCOWNER
AYERS-RIGSBY, MARY CATHERINEPRESIDENT830349
GOLDWASSER, MARK HARRYCEO1334008
GREENE, JON CHRISTOPHERROSFP3202524
HOLLAND, ANGELA LYNNETTECHIEF COMPLIANCE OFFICER3166586
POWELL, KIM ULMANCHIEF FINANCIAL OFFICER6244231
WILSON, DANIELAMLCO6763074

Disclosures

Regulatory Event4

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

CEROS FINANCIAL SERVICES, INC.

CRD#: 37869Rockville, MD 20850

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