Carl MooreCRD Number: 1212274
Current Firm: Securities America Advisors, Inc.
Carl Moore (CRD# 1212274) is an Investment Advisor Representative working at Securities America Advisors, Inc. in Raleigh, NC and has over 33 years of experience in the finance industry.
Wiser Financial Coaching, LLC
Signator Investors, Inc.
Hornor, Townsend & Kent, Inc.
|Securities America, Inc.||Raleigh, NC||Jun 2013 - Current||4|
|Securities America Advisors, Inc.||Raleigh, NC||Jun 2013 - Current||4|
|Bb&t Securities, LLC||Raleigh, NC||Jan 2013 - Jun 2013||< 1|
|Scott & Stringfellow, Inc.||Raleigh, NC||Jun 1999 - Jun 2013||14|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Dec 1983|
|S65||NASAA Investment Advisors Law Examination||May 2001|
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
Total Assets Under Management13,433MILLIONS
Total Number of Accounts92,356ACCOUNTS
Average Account Value$145,443
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- 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)
- Publication of periodicals or newsletters
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV