Lindsey M. Boerner
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.
Lindsey Marie Boerner, who also goes by Lindsey Marie Moore, was a registered financial professional .
Lindsey is a previously registered financial professional and started their career in finance in 2008. Lindsey had worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 22, 2022 - May 17, 2023
EMBED CLEARING LLC
February 24, 2015 - February 19, 2020
STEPHENS
August 21, 2008 - January 6, 2015
STEPHENS
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
EMBED CLEARING LLC
CRD#: 309519 / SEC#: , 8-70546
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EMBED FINANCIAL TECHNOLOGIES INC. | OWNER | |
| SIME, JEFFREY NORMAN | CHIEF EXECUTIVE OFFICER, PRESIDENT, CHIEF RISK OFFICER, CHIEF COMPLIANCE OFFICER | 1554798 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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