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Dietrich Moor

Regions Securities LLC

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About Dietrich Moor

Dietrich Moor is a financial advisor with over 20 years of experience in the industry. Dietrich is currently registered with Regions Securities LLC, and has previously been registered with Raymond James & Associates, Inc., Wells Fargo Securities, LLC, Credit Suisse Securities (USA) LLC, Lazard Freres & Co. LLC, and Dresdner Kleinwort Wasserstein, Inc. Dietrich has a wide range of experience in the financial services industry, including investment banking, securities, and advisory services. Dietrich has a strong track record of success in helping clients achieve their financial goals.

Firm Information

Dietrich Moor is currently registered with Regions Securities LLC. Regions Securities LLC is a Limited Liability Company that was formed on October 12, 2011 and is registered in all 50 states and the District of Columbia. The firm is also registered with the SEC.

Not reported

Assets Under Management

Not reported

Total Clients

137

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Dietrich Moor’s Registration & Firm History

NC

09/16/2016 - Present

Regions Securities LLC (Charlotte NC)

NY

01/25/2012 - 04/06/2016

RAYMOND JAMES & ASSOCIATES, INC. (NEW YORK NY)

NC

04/18/2006 - 10/14/2011

WELLS FARGO SECURITIES, LLC (CHARLOTTE NC)

NY

03/31/2004 - 04/27/2006

CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)

NY

08/06/2002 - 03/16/2004

LAZARD FRERES & CO. LLC (NEW YORK NY)

NY

05/14/2001 - 07/16/2002

DRESDNER KLEINWORT WASSERSTEIN, INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 05/19/2006

Series 63 - Uniform Securities Agent State Law 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 05/12/2001

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Dietrich Moor.
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