Senior Vice President - Chief Compliance Officer
Current
Feb 2023 - Present
AeroLeads people directory · profile
Peter A. Moore Jr. Email & Phone Number
Senior Vice President - Chief Compliance Officer
at
Ashford Securities LLC
1 work email found
@behringersecurities.com
1 phone found area 214
LinkedIn matched
✓ Verified August 2026
4 data sources
Profile completeness 86%
Current company
Role
Senior Vice President - Chief Compliance Officer
Location
Dallas, Texas, United States
Who is Peter A. Moore Jr.? Overview
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Quick answer
Peter A. Moore Jr. is listed as Senior Vice President - Chief Compliance Officer at Ashford Securities LLC, based in Dallas, Texas, United States. AeroLeads shows a work email signal at behringersecurities.com, phone signal with area code 214, and a matched LinkedIn profile for Peter A. Moore Jr..
Peter A. Moore Jr. previously worked as Partner, Compliance Director at Mbd Solutions Llc and Associate Principal Examiner at Financial Industry Regulatory Authority (Finra).
Company email context
Email format at Ashford Securities LLC
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*@behringersecurities.com
68% confidence
AeroLeads found 1 current-domain work email signal for Peter A. Moore Jr.. Compare company email patterns before reaching out.
Profile bio
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.
Listed skills include Series 7, Securities Regulation, and Securities.
Current workplace
Peter A. Moore Jr.'s current company
Company context helps verify the profile and gives searchers a useful next step.
10 roles · 36 years
Peter A. Moore Jr. work experience
A career timeline built from the work history available for this profile.
Partner, Compliance Director
Oct 2019 - Feb 2023
Associate Principal Examiner
Financial Industry Regulatory Authority (Finra)
• 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.
Sep 2018 - Oct 2019
Chief Compliance Officer
Oakline Advisors, Llc
Responsible for identifying, assessing, mitigating and monitoring all forms of regulatory and compliance risk.
2014 - Sep 2018
Chief Compliance Officer
Responsible for identifying, assessing, mitigating and monitoring all forms of regulatory and compliance risk.
Mar 2008 - Sep 2018
Chief Compliance Officer
Urban America Advisors
2010 - 2014
~4 yrs
Senior Compliance Advisor
2006 - 2008
~2 yrs
Regional Compliance Manager
1999 - 2005
~6 yrs
Senior Sales Associate
1998 - 1999
~1 yr
Vice President/Branch Office Manager
Td Waterhouse Investments
1991 - 1998
~7 yrs
FAQ
Frequently asked questions about Peter A. Moore Jr.
Quick answers generated from the profile data available on this page.
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 Ashford Securities LLC?
Peter A. Moore Jr. is listed as Senior Vice President - Chief Compliance Officer at Ashford Securities LLC.
What is Peter A. Moore Jr.'s email address?
AeroLeads has found 1 work email signal at @behringersecurities.com for Peter A. Moore Jr. at Ashford Securities LLC.
What is Peter A. Moore Jr.'s phone number?
AeroLeads has found 1 phone signal(s) with area code 214 for Peter A. Moore Jr. at Ashford Securities LLC.
Where is Peter A. Moore Jr. based?
Peter A. Moore Jr. is based in Dallas, Texas, United States while working with Ashford Securities LLC.
What companies has Peter A. Moore Jr. worked for?
Peter A. Moore Jr. has worked for Ashford Securities Llc, Mbd Solutions Llc, Financial Industry Regulatory Authority (Finra), Oakline Advisors, Llc, and Provasi Capital Partners.
How can I contact Peter A. Moore Jr.?
You can use AeroLeads to view verified contact signals for Peter A. Moore Jr. at Ashford Securities LLC, including work email, phone, and LinkedIn data when available.
What skills is Peter A. Moore Jr. known for?
Peter A. Moore Jr. is listed with skills including Series 7, Securities Regulation, and Securities.
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