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Mcfaddin Moise

Merrill Lynch, Pierce, Fenner & Smith Incorporated

North Fort Myers, FL

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2019-02-14
TX RA APPROVED_RES 2019-02-13
  • FL RA
    APPROVED
    Since 2019-02-14
  • TX RA
    APPROVED_RES
    Since 2019-02-13

Branch Locations

571 Pine Island Rd, North Fort Myers, FL 33903 • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien Yes
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Moise Financial Group, Inc. Ft. Myers FL 03/2006 02/2019
First Allied Securities, Inc. San Diego CA 05/2008 02/2019
First Allied Advisory Services, Inc Chesterfield MO 11/2010 02/2019
Merrill Lynch, Pierce, Fenner & Smith Incorporated Fort Myers FL 02/2019 Present
Bank Of America, N.A. Fort Myers FL 02/2019 Present
  • 03/2006 → 02/2019
    Moise Financial Group, Inc.
    Ft. Myers, FL
  • 05/2008 → 02/2019
    First Allied Securities, Inc.
    San Diego, CA
  • 11/2010 → 02/2019
    First Allied Advisory Services, Inc
    Chesterfield, MO
  • 02/2019 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Fort Myers, FL
  • 02/2019 → Present
    Bank Of America, N.A.
    Fort Myers, FL
Previous Registrations
  • 2010-11-19 → 2019-02-06
    First Allied Advisory Services, Inc.
    Fort Myers, FL
    Naples, FL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2010-09-15
S63 Uniform Securities Agent State Law Examination 2008-08-28
  • S65 Uniform Investment Adviser Law Examination
    2010-09-15
  • S63 Uniform Securities Agent State Law Examination
    2008-08-28
Other Names
  • Mcfaddin Moise
  • Mac Moise
  • Mcfaddin Moise

View on SEC IAPD

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