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Detailed Report
KARLA RANGER MOONS
KARLA DAWN RANGER
CRD#: 1228425
IA
Previous Investment Adviser
B
Previous Broker
BARRED BY FINRA OR THE SEC
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
2000200220042006200820102012201420162018202020222024IACONCOURSE FINANCIAL GROUP ADVISORS (CRD# 15708)2013 - 2022 (9 years)IAAMSOUTH INVESTMENT MANAGEMENT ... (CRD# 111757)2005 - 2006 (1 year)IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2000 - 2005 (5 years)
Disclosure(s)
View By:
4/12/2023
Regulatory
Final
7/28/2022
Employment Separation After Allegations
Previous Registration(s)
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 07/09/2013 - 08/02/2022 CONCOURSE FINANCIAL GROUP ADVISORS (CRD#:15708) MOBILE, AL
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 08/31/2005 - 11/02/2006 AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC (CRD#:111757) BIRMINGHAM, AL
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 08/30/2000 - 09/02/2005 UBS FINANCIAL SERVICES INC. (CRD#:8174) MOBILE, AL
For additional information about investment advisers or broker-dealers, please visit
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B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.