Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Wesley? Claim Your ProfileWesley Moore is a financial professional with over two decades of experience in the industry. Wesley's career has spanned several prominent firms including Wachovia Securities, LLC, Banc of America Securities LLC, and First Union Brokerage Services, Inc. Wesley is currently registered with Wells Fargo Securities, LLC and holds a broad range of licenses and certifications, including Series 3, 6, 7, 9, 10, 14, 22, 24, 27, 53, 63, 65, 66, 82, and 99. Wesley's extensive experience and comprehensive credentials make him a well-equipped advisor for a variety of financial needs.
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
NC
12/08/2021 - Present
Wells Fargo Securities, LLC (CHARLOTTE NC)
NC
01/10/2005 - 10/17/2014
WELLS FARGO SECURITIES, LLC (CHARLOTTE NC)
NY
11/13/2003 - 11/23/2004
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
MO
10/01/2000 - 09/17/2003
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NC
01/11/2000 - 10/01/2000
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
NA
12/07/1992 - 06/29/1993
INTERPACIFIC INVESTORS SERVICES, INC.
NA
11/30/1989 - 11/19/1990
TRANSAMERICA FINANCIAL RESOURCES, INC.
NA
11/30/1989 - 11/19/1990
TRANSAMERICA SECURITIES SALES CORPORATION
NA
03/18/1989 - 11/14/1989
CENTURY INVESTORS OF AMERICA, INC.
NA
02/14/1989 - 03/14/1989
WEST COAST SECURITIES, LTD.
NA
12/22/1986 - 06/30/1988
AMERICAN FUNDS DISTRIBUTORS, INC.
BOTH
Issued 11/30/1999
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/11/1992
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 08/17/1990
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/02/2022
Series 24 - General Securities Principal Examination
BC
Issued 03/05/2004
Series 27 - Financial and Operations Principal Examination
BC
Issued 12/22/2000
Series 14 - Compliance Officer Examination
BC
Issued 05/23/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/25/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/11/1992
Series 53 - Municipal Securities Principal Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 22TO - Direct Participation Programs Representative Examination
BC
Issued 01/02/2023
Series 82TO - Limited Representative-Private Securities Offerings
BC
Issued 07/18/1991
Series 3 - National Commodity Futures Examination
BC
Issued 02/11/1989
Series 7 - General Securities Representative Examination
BC
Issued 07/25/1986
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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