Harold G. 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.
Harold Gregory Moore III, who also goes by Greg Moore III, Harold Gregory Moore, was a registered financial professional .
Harold is a previously registered financial professional and started their career in finance in 1990. Harold had worked at 7 firms and has passed the Series 66, Series 63, Series 99TO, Series 52TO, SIE, Series 82, Series 79, Series 86, Series 87, Series 33, Series 31, Series 6, Series 3, Series 7, Series 28, Series 39, Series 53, Series 4, Series 26 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 17, 2019 - August 11, 2025
3PE ADVISORS
January 9, 2017 - May 16, 2019
STILLPOINT CAPITAL, LLC
October 21, 2014 - March 28, 2016
INDEPENDENT INVESTMENT BANKERS, CORP.
April 21, 2006 - December 18, 2008
STONEGATE CAPITAL MARKETS, INC.
October 15, 2004 - August 14, 2014
BLACKHILL ADVISORS LP
July 20, 1993 - May 22, 1995
CREDIT SUISSE SECURITIES (USA) LLC
June 5, 1990 - July 26, 1993
UBS SECURITIES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 33
Date: 3/3/2005
Financial Instruments ExaminationSeries 28
Date: 7/6/2006
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
3PE ADVISORS
CRD#: 290234 / SEC#: , 8-70023
Contact information
FINRA licenses (1 States and Territories)
Documents
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.
