Peter T. Moeller
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.
Peter Thomas Moeller, who also goes by Peter T Moeller, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1981. Peter had worked at 7 firms and has passed the Series 65, Series 63, Series 5, Series 7, Series 53, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 23, 2011 - July 18, 2012
FORESIDE FUND SERVICES, LLC
September 8, 2005 - December 15, 2010
VAN ECK SECURITIES CORPORATION
January 26, 2004 - August 12, 2004
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
June 10, 2000 - August 12, 2004
NYLIFE DISTRIBUTORS LLC
September 26, 1997 - June 8, 1999
DEUTSCHE BANK SECURITIES INC.
February 17, 1993 - October 9, 1997
BNY MELLON SECURITIES CORPORATION
March 23, 1981 - September 18, 1992
MORGAN STANLEY DW INC.
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
Series 5
Date: 12/11/1982
Interest Rate Options ExaminationSeries 8
Date: 5/12/1987
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FORESIDE FUND SERVICES, LLC
CRD#: 46106 / SEC#: , 8-51293
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRES/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
| STROUT, ALICIA KIMBERLY | CHIEF COMPLIANCE OFFICER/VICE PRESIDENT | 6320351 |
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.
