Errold F. Moody
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.
Errold Francis Moody JR was a registered financial advisor .
Errold is a previously registered financial advisor and started their career in finance in 1981. Errold had worked at 7 firms and has passed the Series 65, Series 63, Series 7, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 23, 2012 - December 31, 2013
ERROLD FRANCIS MOODY JR
January 14, 1992 - January 20, 1993
LIGHT SECURITIES
September 8, 1989 - February 21, 1990
TRANSAMERICA FINANCIAL ADVISORS, INC.
August 12, 1987 - August 15, 1989
PIM FINANCIAL SERVICES, INC.
November 24, 1986 - June 12, 1987
ACCUMULATION PLANNING, INC.
January 27, 1984 - November 24, 1986
LPL FINANCIAL LLC
November 25, 1981 - February 1, 1984
SOUTHMARK FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
ERROLD FRANCIS MOODY JR
CRD#: 137061 / SEC#:
Contact information
Red Flags
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