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Richard Earl Moore

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Riverside, RI

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2021-01-05
RI RA APPROVED 2020-02-11
  • TX RA
    APPROVED
    Since 2021-01-05
  • RI RA
    APPROVED
    Since 2020-02-11

Branch Locations

3400 Pawtucket Ave Ci Relationship Management, Riverside, RI 02915 • United States

Disclosures

1 disclosure category 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 Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Portland OR 01/2018 09/2019
Iatse 23 Providence RI 08/2013 01/2018
Fidelity Investments Smithfield RI 07/2017 01/2018
Rhode Island College Providence RI 08/2012 05/2017
Merrill Lynch, Pierce, Fenner & Smith Incorporated Providence RI 01/2020 Present
Iatse Local 23 Providence RI 10/2019 12/2019
Bank Of America, N.A. Providence RI 02/2020 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-07-26
  • S66 Uniform Combined State Law Examination
    2018-07-26
Other Names
  • Richard Moore
  • Richard Earl Moore

View on SEC IAPD

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