Colin Moors

Colin Moors has an extensive work experience in the financial industry. Colin is currently working as the Chief Compliance Officer at Main Street Financial Solutions LLC since 2023. Prior to this, they held the same position at American Portfolios from 2017 to 2023, where they were responsible for creating and maintaining policies and procedures, conducting compliance presentations, and leading regulatory exam responses.

Before that, Colin worked at East End Financial Group from 2009 to 2017, where they supervised all BD and RIA activities and provided investment ideas for advisors. Colin also worked at Ladenburg Thalmann as the VP of Operations and Chief Compliance Officer from 2005 to 2009, where they reorganized the operations department.

Colin's earlier experiences include working as the Director of Operations at Laidlaw & Company UK Ltd. from 2004 to 2005, where they oversaw credit decisions and margin activities, and working as the Director of Operations at Patagon Securities Corp from 1999 to 2002, where they collaborated in creating a startup online discount broker.

Colin's career started at TD Ameritrade, where they worked as a Branch Manager from 1995 to 1999, gaining knowledge in financial markets, customer service skills, and asset management. During their time there, they also assisted in opening two branches and resolved challenging customer service issues.

Colin Moors obtained a Bachelor of Science degree in Finance, General from the Florida Institute of Technology in 1992. In 1995, they obtained various certifications, including the Series 7, 63, 65, 8, 53, 24, 55, 4, and 14 (NYSE Chief Compliance Officer) from the Financial Industry Regulatory Authority (FINRA).