TM
Timothy J. Moore
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Frederick, MD 21702
Some features on this profile are disabled
CRD#: 1044325
TM
Professional summary
Timothy J Moore Sr, who also goes by Sr Timothy Joseph Moore, Timothy J Moore, Timothy Joseph Moore Sr, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Frederick, Maryland and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Frederick, Maryland.
Timothy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Timothy has worked at 5 firms and has passed the Series 66, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sr Timothy Joseph Moore | Timothy J Moore | Timothy Joseph Moore Sr
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.TIMOTHY J MOORE INSURANCE AND FIN SERV, 8118 OVERLOOK DR, FREDERICK, MD, 5/1976 AS INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 20/WK - 8/TRADING. 2.ST KATHARINE DREXEL RC CHURCH, 8428 OPPOSSUMTOWN PK, FREDERICK, MD, 7/2015 AS PERMANENT DEACON PROVIDING CHURCH MINISTRY. NIR - 7/WK - 0/TRADING. 3.ARCHDIOSESE OF BALTIMORE RC CHURCH, 320 CATHEDRAL ST, BALTIMORE, MD, 5/2011 AS PERMANENT DEACON PROVIDING CHURCH MINISTRY. NIR - 3/WK - 0/TRADING. 4.FINRA ARBITRATOR, FREDERICK, MD, 9/1997. NIR - 15/YR - 2/TRADING. 5.CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 20/WK - 20/TRADING. SEE EMPLOYMENT HISTORY FOR START DATE. 6.NOTARY PUBLIC, FREDERICK MD 21702, 01/2016, Notary Public, Notary, NIR, 1HR/MO - 1HR/MO TRADING 7.MOORE FINANCIAL, 8118 OVERLOOK DRIVE, FREDERICK MD 21702, United States, 04/06/2023, Owner, Owner/Partner of a Business Entity, INV REL, 80 HR/MO - 32 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Timothy J Moore Sr's 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®
NoneExperience
Current
December 21, 2017 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 8118 Overlook Drive, Frederick, MD 21702RIA
CRD#: 134139
Frederick, MD
Current
December 21, 2017 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
Frederick, MD
Past
December 20, 2006 - December 14, 2017
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
FREDERICK, MD
Past
January 1, 2004 - December 14, 2017
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
FREDERICK, MD
Past
July 17, 2000 - January 1, 2004
LOCUST STREET SECURITIES, INC.
BD
CRD#: 1703
DES MOINES, IA
Past
August 31, 1983 - July 17, 2000
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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".
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
Registered Investment Advisory firm - (2/3/2005 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Delaware(12/21/2017)
RR
District of Columbia(12/21/2017)
RR
Florida(7/11/2018)
RR
Georgia(10/12/2023)
RR
Indiana(12/21/2017)
RR
Kansas(3/26/2020)
RR
Maine(1/10/2018)
RR
Maryland(12/21/2017)
IAR
Maryland(12/21/2017)
RR
Mississippi(1/24/2018)
RR
New Jersey(2/14/2018)
RR
New Mexico(12/21/2017)
RR
New York(2/2/2025)
RR
North Carolina(12/21/2017)
RR
Ohio(12/21/2017)
RR
Oregon(6/23/2020)
RR
Pennsylvania(12/21/2017)
RR
South Carolina(12/21/2017)
RR
Texas(10/10/2022)
IAR
Texas(10/10/2022)
RR
Virginia(3/28/2018)
RR
Washington(12/21/2017)
RR
West Virginia(12/21/2017)
RR
Wisconsin(3/18/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
Registered Investment Advisory firm - (2/3/2005 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1776 Pleasant Plain Rd., Fairfield, IA 52556-8757
Mailing Address
Phone number
(641) 472-5100
Established
Firm type
Fiscal year end
# of Employees
3,361
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
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.
Company Information
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139Frederick, MD 21702TRUST BUT VERIFY
Monitor Timothy Moore
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
