SM
Susan C. Moore
KESTRA ADVISORY SERVICES
Alexander City, AL 35010
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CRD#: 1130216
SM
Professional summary
Susan Clayton Moore, who also goes by Susan Moore Mcellen, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Alexander City, Alabama and KESTRA INVESTMENT SERVICES, LLC located in Alexander City, Alabama.
Susan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Susan has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Susan Moore Mcellen
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.
Business Name: Kestra Advisory Services, LLC Investment Related: Yes Address: 5707 Southwest Parkway Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: IAR Start Date: 8/5/2019 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: IARBusiness Name: Moore Wealth Management, Inc. Investment Related: Yes Address: 51 Clay Street Alexander City AL 35010 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Insurance; Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Financial Advisor Start Date: 4/5/1991 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: Advising and managing client accounts
CRS (Client Relationship Summary) - RIA
Click below to view Susan Clayton Moore'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
August 6, 2019 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 51 Clay Street, Alexander City, AL 35010Office #2: 1695 E. University Drive Ste 101, Auburn, AL 36830Office #3: 8307 Crossland Loop, Montgomery, AL 36117RIA
CRD#: 283330
Alexander City, AL
Current
August 6, 2019 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 51 Clay Street, Alexander City, AL 35010Office #2: 8307 Crossland Loop, Montgomery, AL 36117BD
CRD#: 42046
Alexander City, AL
Past
November 15, 2006 - August 16, 2019
LPL FINANCIAL LLC
RIA
CRD#: 6413
ALEXANDER CITY, AL
Past
November 14, 2006 - August 16, 2019
LPL FINANCIAL LLC
BD
CRD#: 6413
ALEXANDER CITY, AL
Past
May 18, 1999 - November 15, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
RIA
CRD#: 6694
ALEXANDER CITY, AL
Past
January 4, 1999 - November 15, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
ALEXANDER CITY, AL
Past
April 30, 1991 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
BD
CRD#: 10147
ST. PETERSBURG, FL
Past
June 22, 1983 - April 29, 1991
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
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".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 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
Alabama(8/6/2019)
IAR
Alabama(8/6/2019)
RR
Arizona(8/6/2019)
RR
California(8/6/2019)
RR
Colorado(8/6/2019)
RR
Connecticut(8/6/2019)
RR
Delaware(8/6/2019)
RR
Florida(8/6/2019)
RR
Georgia(8/7/2019)
RR
Illinois(8/7/2019)
RR
Indiana(8/19/2019)
RR
Kentucky(8/6/2019)
RR
Louisiana(8/6/2019)
RR
Maryland(8/6/2019)
RR
Massachusetts(8/7/2019)
RR
Minnesota(8/19/2019)
RR
Mississippi(8/6/2019)
RR
Missouri(8/6/2019)
RR
Montana(11/6/2019)
RR
Nevada(11/21/2019)
RR
New Jersey(8/6/2019)
RR
New York(8/6/2019)
RR
North Carolina(8/16/2019)
RR
Ohio(8/6/2019)
RR
Oklahoma(8/8/2019)
RR
Pennsylvania(8/6/2019)
RR
South Carolina(8/9/2019)
RR
Tennessee(8/6/2019)
RR
Texas(8/6/2019)
IAR
Texas(8/6/2019)
RR
Utah(8/6/2019)
RR
Virginia(5/1/2023)
RR
Washington(12/19/2019)
RR
Wisconsin(8/6/2019)
RR
Wyoming(5/5/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
