John Moore, financial advisor Fremont CA
83 score

John Moore

CRD Number: 1970177
Current Firm: Independent Advisor Alliance, LLC

John Moore (CRD# 1970177) is an Investment Advisor Representative working at Independent Advisor Alliance, LLC in Fremont, CA and has over 25 years of experience in the finance industry.

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Company Name Location Dates Years
Independent Advisor Alliance Fremont, CA Jun 2016 - Current < 1
Lpl Financial, LLC Fremont, CA Jun 2016 - Current < 1
John Moore Fremont, CA Jan 1991 - Current 25
Moore Financial Svcs, Inc. Fremont, CA Jan 1983 - Current 33
The Planners Network, Inc. Fremont, CA May 2003 - Jun 2016 13
National Planning Corp Fremont, CA Dec 1999 - Jun 2016 16
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Apr 1991
Disclosure Information

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, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for John D. Moore
Phone Number: 888.430.1555
Registered State(s):
  • CA
  • TX
By the Numbers
  • Total Assets Under Management
    907
    MILLIONS
  • Total Number of Accounts
    5,094
    ACCOUNTS
  • Average Account Value
    $178,007
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • 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)
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, IA, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, NC, NE, NH, NJ, NM, NV, NY, OH, OR, PA, PR, RI, SC, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
83

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