Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Christopher? Claim Your ProfileChristopher Moriarty is a financial professional with over 20 years of experience in the financial services industry. Moriarty is currently registered with Stifel, Nicolaus & Company, Inc. Prior to joining Stifel, Moriarty was employed by Wells Fargo Securities, LLC, Barclays Capital Inc., Lehman Brothers Inc., PaineWebber Incorporated and Blyth Eastman Paine Webber Incorporated. Moriarty holds FINRA Series 7, 50, 52, 63, 79 and SIE licenses. Moriarty is registered to provide securities and investment advisory services in 49 states and the District of Columbia.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
NY
09/18/2015 - Present
Stifel, Nicolaus & Company, Inc. (NEW YORK NY)
NY
07/18/2012 - 07/07/2015
WELLS FARGO SECURITIES, LLC (NEW YORK NY)
NY
09/22/2008 - 04/10/2012
BARCLAYS CAPITAL INC. (NEW YORK NY)
NY
11/10/2005 - 09/22/2008
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
11/24/1982 - 09/22/1988
PAINEWEBBER INCORPORATED
NA
11/24/1982 - 06/01/1984
BLYTH EASTMAN PAINE WEBBER INCORPORATED
BC
Issued 01/24/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/08/2017
Series 50 - Municipal Advisor Representative Qualification Exam
BC
Issued 11/08/2005
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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