Peter A. Moore Jr.

Peter A. Moore Jr. Email and Phone Number

Senior Vice President - Chief Compliance Officer @ Ashford Securities LLC
Peter A. Moore Jr.'s Location
Dallas, Texas, United States, United States
Peter A. Moore Jr.'s Contact Details

Peter A. Moore Jr. work email

Peter A. Moore Jr. personal email

n/a

Peter A. Moore Jr. phone numbers

About Peter A. Moore Jr.

Mr. Moore is an enthusiastic and dedicated professional combining strong business acumen with more than 25 years experience in FINRA, SEC and state regulatory compliance, management and training.His strengths include demonstrating superior attention to detail with a logical and analytical approach to solving complex problems and issues, the ability to demonstrate an excellent knowledge of FINRA and SEC regulations, and excellent interpersonal, communication and negotiation skills.Widely regarded as a strong and supportive leader, Mr. Moore also has a proven ability to influence business critical decisions, formulate positive internal and external relationships, and actively promote an environment of continual improvement and best practice.

Peter A. Moore Jr.'s Current Company Details
Ashford Securities LLC

Ashford Securities Llc

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Senior Vice President - Chief Compliance Officer
Peter A. Moore Jr. Work Experience Details
  • Ashford Securities Llc
    Senior Vice President - Chief Compliance Officer
    Ashford Securities Llc Feb 2023 - Present
    View
  • Mbd Solutions Llc
    Partner, Compliance Director
    Mbd Solutions Llc Oct 2019 - Feb 2023
    Dallas/Fort Worth Area
    View
  • Financial Industry Regulatory Authority (Finra)
    Associate Principal Examiner
    Financial Industry Regulatory Authority (Finra) Sep 2018 - Oct 2019
    Boston, Ma
    • Lead or participate in examinations to ensure efficient and timely regulatory responses.• Prepare examination reports, supporting documents, and recommend appropriate disciplinary action • Present detailed relevant findings, potential violations and recommendations to the Exam Manager.• Proactively identify and share recommendations regarding notable trends.• Assist and guide other examiners on discovery/risk reviews and examination reports.
  • Oakline Advisors, Llc
    Chief Compliance Officer
    Oakline Advisors, Llc 2014 - Sep 2018
    Dallas/Fort Worth Area
    Responsible for identifying, assessing, mitigating and monitoring all forms of regulatory and compliance risk.
  • Provasi Capital Partners
    Chief Compliance Officer
    Provasi Capital Partners Mar 2008 - Sep 2018
    Dallas/Fort Worth Area
    Responsible for identifying, assessing, mitigating and monitoring all forms of regulatory and compliance risk.
    View
  • Urban America Advisors
    Chief Compliance Officer
    Urban America Advisors 2010 - 2014
  • Provasi Capital Partners
    Senior Compliance Advisor
    Provasi Capital Partners 2006 - 2008
    Dallas/Fort Worth Area
    View
  • H&R Block Financial Advisors
    Regional Compliance Manager
    H&R Block Financial Advisors 1999 - 2005
    View
  • American General Securities Inc.
    Senior Sales Associate
    American General Securities Inc. 1998 - 1999
    View
  • Td Waterhouse Investments
    Vice President/Branch Office Manager
    Td Waterhouse Investments 1991 - 1998

Peter A. Moore Jr. Skills

Series 7 Securities Regulation Securities

Frequently Asked Questions about Peter A. Moore Jr.

What company does Peter A. Moore Jr. work for?

Peter A. Moore Jr. works for Ashford Securities Llc

What is Peter A. Moore Jr.'s role at the current company?

Peter A. Moore Jr.'s current role is Senior Vice President - Chief Compliance Officer.

What is Peter A. Moore Jr.'s email address?

Peter A. Moore Jr.'s email address is pm****@****ies.com

What is Peter A. Moore Jr.'s direct phone number?

Peter A. Moore Jr.'s direct phone number is (214)-655*****

What skills is Peter A. Moore Jr. known for?

Peter A. Moore Jr. has skills like Series 7, Securities Regulation, Securities.

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