Stephen MooreCRD Number: 6289945
Current Firm: Strategic Advisers, Inc.
Stephen Moore (CRD# 6289945) is an Investment Advisor Representative working at Strategic Advisers, Inc. in Stamford, CT and has over 2 years of experience in the finance industry.
Altium Wealth Management LLC
Karagosian Financial Services, Inc.
Ubs Financial Services Inc.
|Fidelity Investments||Stamford, CT||May 2014 - Current||2|
|Axa Advisors, LLC||New York, NY||Mar 2014 - Apr 2014||< 1|
|Home Depot||Norwalk, CT||Jan 2009 - Mar 2014||5|
|Consultant||Norwalk, CT||Jan 2008 - Dec 2008||< 1|
|Westlb||New York, NY||Jan 2006 - Dec 2007||1|
|Exam Code||Name||Passed Date|
|S66||NASAA Uniform Combined State Law Examination||Apr 2014|
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 Management236,390MILLIONS
Total Number of Accounts619,100ACCOUNTS
Average Account Value$381,828
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies (as well as "business development companies")
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)
- 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, VT, WA, WI, WV