Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sonya? Claim Your ProfileSonya Moreno is a financial professional with over a decade of experience in the industry. Sonya has held positions with several firms, including TD Ameritrade, First Command Financial Planning, 1st Global Capital Corp, and APEX Clearing Corporation. Sonya is currently a Registered Representative with Axos Clearing LLC. Sonya holds a variety of licenses and certifications, including Series 7, 24, 27, 52, 53, 63, 66 and 99. Sonya is committed to providing her clients with personalized financial advice and guidance.
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.
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.
1
2
NE
03/13/2024 - Present
Axos Clearing LLC (Omaha NE)
TX
02/06/2018 - 11/05/2021
APEX CLEARING CORPORATION (DALLAS TX)
TX
04/05/2017 - 02/02/2018
FIRST COMMAND FINANCIAL PLANNING, INC. (FORT WORTH TX)
TX
09/18/2013 - 03/24/2017
1ST GLOBAL CAPITAL CORP. (DALLAS TX)
TX
10/13/2011 - 08/07/2012
TD AMERITRADE CLEARING, INC. (FORT WORTH TX)
TX
06/29/2007 - 08/07/2012
TD AMERITRADE, INC. (FORT WORTH TX)
BOTH
Issued 05/05/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/06/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/13/2024
Series 27 - Financial and Operations Principal Examination
BC
Issued 03/13/2024
Series 24 - General Securities Principal Examination
BC
Issued 03/13/2024
Series 53 - Municipal Securities Principal Examination
BC
Issued 03/13/2024
Series 7TO - General Securities Representative Examination
BC
Issued 03/13/2024
Series 52TO - Municipal Securities Representative Examination
BC
Issued 03/13/2024
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/28/2007
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BZX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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