Peter Moore Jr. Email & Phone Number
Senior Vice President - Chief Compliance Officer @ Ashford Securities LLC
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Peter Moore Jr. Location
- Dallas, TX, US
Peter Moore Jr. Work
- 2023 -now Senior Vice President - Chief Compliance Officer @
- 2019 -2023 Partner, Compliance Director @
- 2018 -2019 Associate Principal Examiner @ Financial Industry Regulatory Authority (FINRA)
- 2014 -2018 Chief Compliance Officer @ Oakline Advisors, LLC
- 2008 -2018 Chief Compliance Officer @
- 2010 -2014 Chief Compliance Officer @ Urban America Advisors
- 2006 -2008 Senior Compliance Advisor @
- 1999 -2005 Regional Compliance Manager @
- 1998 -1999 Senior Sales Associate @
- 1991 -1998 Vice President and Branch Office Manager @ TD Waterhouse Investments
Peter Moore Jr. Education
- Sam Houston State University
(Business Administration, Finance)
Peter Moore Jr. Skills
- Series 7
- Securities Regulation
- Securities
- Alternative Investments
- Asset Management
- Due Diligence
- Finance
- FINRA
- Financial Services
- Investments
- Management
- Mutual Funds
- Portfolio Management
- Series 24
- Series 63
- Trading
Peter Moore Jr. Summary
- Peter Moore Jr., based in Dallas, TX, US, is currently a Senior Vice President - Chief Compliance Officer at Ashford Securities LLC. Peter Moore Jr. brings experience from previous roles at MBD Solutions LLC, Financial Industry Regulatory Authority (FINRA), Oakline Advisors, LLC and Provasi Capital Partners. Peter Moore Jr. holds a Sam Houston State University. With a robust skill set that includes Series 7, Securities Regulation, Securities, Alternative Investments, Asset Management and more. Peter Moore Jr. has 1 emails on RocketReach.
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