Shaun P. Moore
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.
Shaun Patrick Moore, who also goes by Shaun Moore, was a registered financial professional .
Shaun is a previously registered financial professional and started their career in finance in 2011. Shaun had worked at 2 firms and has passed the Series 66 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 2, 2014 - August 15, 2014
CASSANDRA TRADING GROUP, LLC
November 3, 2011 - February 27, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 16, 2011 - February 27, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
CASSANDRA TRADING GROUP, LLC
CRD#: 117818 / SEC#: , 8-53607
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
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.
