William Moore (CRD# 3206918) is an Investment Advisor Representative working at Janney Montgomery Scott LLC in Syracuse, NY and has over 24 years of experience in the finance industry. William Moore has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
CRD# 5591004
Cadaret Grant & Co Inc.
CRD# 1200413
Rbc Capital Markets, LLC
CRD# 828730
Merrill Lynch, Pierce, Fenner & Smith Incorporated
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Janney Montgomery Scott LLC | Syracuse, NY | Aug 2018 - Current | 5 |
| Wells Fargo Clearing Services, LLC | De Witt, NY | Nov 2016 - Aug 2018 | 1 |
| Wells Fargo Advisors LLC | De Witt, NY | May 2009 - Nov 2016 | 7 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | May 1999 |
| S66 | NASAA Uniform Combined State Law Examination | Sep 2004 |
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, financial matters, and other matters required to be disclosed in which the advisor has been involved.
Get Details on the FINRA Advisor Check site- NJ
- NY
- VA
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Total Assets Under Management85,895MILLIONS
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Total Number of Accounts226,034ACCOUNTS
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Average Account Value$380,010
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Commissions
- Other
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
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