Equitable Advisors Fires Delmar Moore
Delmar Moore (CRD #:5079080), a former registered broker and investment advisor, was recently fired by Equitable Advisors, according to his BrokerCheck record, accessed on November 3, 2021. Keep reading for more details.
On September 16, 2021, Equitable Advisors fired Delmar Moore after allegedly failing to disclose a past regulatory settlement. Delmar Moore’s alleged conduct is a violation of FINRA Rule 4530.
FINRA Rule 4530 – Reporting Requirements
FINRA Rule 4530 requires associated persons to promptly report specified events to firms, including violations of securities laws and FINRA rules, certain written customer complaints, and certain disciplinary actions taken by the firm.
Delmar Moore Background Information
Delmar Moore has passed the following exams:
- Series 65 – Uniform Investment Adviser Law Examination
- Series 63 – Uniform Securities Agent State Law Examination
- SIE – Securities Industry Essentials Examination
- Series 7 – General Securities Representative Examination
- Series 6 – Investment Company Products/Variable Contracts Representative Examination
Delmar Moore has worked with the following firms:
- Equitable Advisors (CRD#:6627)
- PNC Investments (CRD#:129052)
- Citizens Securities (CRD#:39550)
- Securian Financial Services (CRD#:15296)
- Allstate Financial Services (CRD#:18272)
- NYLIFE Securities (CRD#:5167)
Kurta Law Can Help
If you have worked with Delmar Moore and have concerns about your investments, don’t hesitate to contact us today at 877-600-0098 or email@example.com for a free consultation.
For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.