John Moore, financial advisor Odessa TX
83 score

John Moore

CRD Number: 1198173
Current Firm: Summit Financial Group Inc.

John Moore (CRD# 1198173) is an Investment Advisor Representative working at Summit Financial Group Inc. in Odessa, TX and has over 33 years of experience in the finance industry.

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Company Name Location Dates Years
Summit Brokerage Services Inc. Odessa, TX Aug 2015 - Current 1
Summit Financial Group Inc. Odessa, TX Aug 2015 - Current 1
Wells Fargo Advisors Financial Network LLC Odessa, TX May 2010 - Aug 2015 5
Wachovia Securities, LLC Midland, TX Jun 2003 - May 2010 6
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Nov 1983
S65 NASAA Investment Advisors Law Examination Jun 1995
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 M. Moore
Phone Number: 561-338-2600
Registered State(s):
  • TX
By the Numbers
  • Total Assets Under Management
    1,671
    MILLIONS
  • Total Number of Accounts
    8,086
    ACCOUNTS
  • Average Account Value
    $206,638
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

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

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BADGES
83

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