David J. Moore

PLANROCK WEALTH STRATEGIES

Beechgrove, TN

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CRD#: 1002935

Professional summary

David Joe Moore, CFP® is a registered financial advisor currently at PLANROCK WEALTH STRATEGIES, LLC located in Beechgrove, Tennessee.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1981. David has worked at 11 firms and has passed the Series 63, Series 65, Series 22TO, Series 6TO, SIE, Series 7, Series 22, Series 6, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1. TAILWINDS AVIATION, LLC INVESTMENT RELATED: NO ADDRESS: 80 GENERAL BRECKENRIDGE BEECHGROVE TN 37018 NATURE: AIRCRAFT HOLDING COMPANY POSITION: MANAGER AND MEMBER START DATE: 2007 HOURS EXPENDED: 1 HOUR/MONTH HOURS DURING TRADING HIOURS: 0 DUTIES: OVERSEE OPERATION 2. PlanRock, LLC INVESTMENT RELATED: YES ADDRESS: FRANKLIN TN NATURE: INVESTMENT ADVISORY SERVICES POSITION:IAR START DATE: 03/2021 DESCRIPTION: Investment advisory representative APPROXIMATE HOURS EXPENDED PER MONTH: 8 - 10 HOURS DURING TRADING HOURS: 8 - 10

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Joe Moore's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 1987

Experience

Current

March 17, 2021 - Present

PLANROCK WEALTH STRATEGIES, LLC

RIA

CRD#: 304803

Beechgrove, TN

Past

May 21, 2020 - March 16, 2021

FSC SECURITIES CORPORATION

CRD#: 7461

COOKEVILLE, TN

Past

May 11, 2020 - March 9, 2021

COMPASS ADVISORY PARTNERS LLC

RIA

CRD#: 119377

BEECHGROVE, TN

Past

February 12, 2019 - October 13, 2025

TIMOTHY PARTNERS, LTD.

CRD#: 41835

MAITLAND, FL

Past

December 16, 2015 - May 31, 2018

VICTORY CAPITAL SERVICES, INC.

CRD#: 37059

BROOKLYN, OH

Past

August 5, 2011 - March 9, 2012

MATRIX CAPITAL GROUP, INC.

CRD#: 33364

BRENTWOOD, TN

Past

March 28, 2007 - May 12, 2015

COMPASS EFFICIENT MODEL PORTFOLIOS, LLC

RIA

CRD#: 125568

BRENTWOOD, TN

Past

March 15, 2004 - April 27, 2009

FSC SECURITIES CORPORATION

RIA

CRD#: 7461

BRENTWOOD, TN

Past

January 13, 1997 - January 4, 2010

FSC SECURITIES CORPORATION

CRD#: 7461

BRENTWOOD, TN

Past

February 27, 1996 - December 24, 1996

WMA SECURITIES, INC.

CRD#: 32625

DULUTH, GA

Past

July 13, 1989 - January 30, 1996

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

September 2, 1981 - December 24, 1986

AMERICAN EXPRESS FINANCIAL CORPORATION

CRD#: 6320

Past

September 2, 1981 - January 30, 1996

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

PLANROCK WEALTH STRATEGIES, LLC

CRD#: 304803 / SEC#: 801-118167

RIA

Registered Investment Advisory firm - (5/13/2020 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Tennessee
(3/17/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 9/27/2019

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 11/23/1994

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 22TO

Date: 1/2/2023

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 5/31/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/16/1985

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 6/10/1983

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 7/28/1981

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 53

Date: 1/6/2006

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 3/13/1989

General Securities Principal Examination

Current Firm

PLANROCK WEALTH STRATEGIES, LLC

CRD#: 304803 / SEC#: 801-118167

RIA

Registered Investment Advisory firm - (5/13/2020 Approved)

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Contact information

Main Address

6700 Tower Circle Suite 330, Franklin, TN 37067

Mailing Address

Phone number

(800) 677-6025

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PLANROCK ADV2B - THE MOORE TEAM (3/31/2025)

PLANROCK WEALTH STRATEGIES (3/31/2025)

PLANROCK ADV2B - OFFICERS (3/31/2025)

Regulatory assets under management

Total Number of Accounts	115
AUM (Assets Under Management)	$ 64,408,983

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

David J. Moore

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Joe Moore's CRS (Customer Relationship Summary).

Certified licenses

Experience

FSC SECURITIES CORPORATION

COMPASS ADVISORY PARTNERS LLC

TIMOTHY PARTNERS, LTD.

VICTORY CAPITAL SERVICES, INC.

MATRIX CAPITAL GROUP, INC.

COMPASS EFFICIENT MODEL PORTFOLIOS, LLC

FSC SECURITIES CORPORATION

FSC SECURITIES CORPORATION

WMA SECURITIES, INC.

IDS LIFE INSURANCE COMPANY

AMERICAN EXPRESS FINANCIAL CORPORATION

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

PLANROCK WEALTH STRATEGIES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/27/2019

Series 65

Date: 11/23/1994

Series 22TO

Date: 1/2/2023

Series 6TO

Date: 1/2/2023

SIE

Date: 5/31/2018

Series 7

Date: 11/16/1985

Series 22

Date: 6/10/1983

Series 6

Date: 7/28/1981

Series 53

Date: 1/6/2006

Series 24

Date: 3/13/1989

Current Firm

PLANROCK WEALTH STRATEGIES, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PLANROCK WEALTH STRATEGIES, LLC

TRUST BUT VERIFY

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