Alvin C. Moore

DUNVEGAN ASSOCIATES

Santa Barbara, CA 93101

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CRD#: 1163038

Professional summary

Alvin Crawford Moore JR, who also goes by A C Moore Jr, is a registered financial advisor currently at DUNVEGAN ASSOCIATES INC located in Santa Barbara, California.

Alvin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Alvin has worked at 3 firms and has passed the Series 65 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

A C Moore Jr

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.

Sylva Partners, L.P. was formed in 1972 by A. C. Moore, Jr., as General Partner, and his parents as Limited Partners. Following the decease of A. C. Moore's parents, Sylva Partners is now wholly owned by A. C. Moore. The entity was created to formulate proprietary algorithms for the discovery of underlying macro-economic trends. A. C. Moore is well known for his work in this area. Over the past few years, the maintenance of this dataset requires very little time from the workday but does require safekeeping.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alvin Crawford Moore JR'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®

None

Experience

Current

September 13, 2017 - Present

DUNVEGAN ASSOCIATES INC

Office #1: 1114 State Street, Santa Barbara, CA 93101

RIA

CRD#: 108603

Santa Barbara, CA

Past

November 4, 2003 - September 12, 2017

DUNVEGAN ASSOCIATES INC

RIA

CRD#: 108603

SANTA BARBARA, CA

Past

March 4, 1988 - May 8, 1989

BILTMORE INTERNATIONAL CORPORATION

CRD#: 21163

EDISON, NJ

Past

August 25, 1983 - November 16, 1987

A.C. MOORE & CO.

CRD#: 13804

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

California
(9/13/2017)

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

IAR

Series 65

Date: 9/12/2017

Uniform Investment Adviser Law Examination

Principal/Supervisory Exam

Series 24

Date: 11/21/1983

General Securities Principal Examination

Current Firm

DUNVEGAN ASSOCIATES INC

DUNVEGAN ASSOCIATES INC | SPYTRADER.COM | SPYTRADER | DUNVEGAN.COM | DUNVEGAN ASSOCIATES, INC.

CRD#: 108603 / SEC#: 801-11453

RIA

Registered Investment Advisory firm - (9/12/2017 Terminated)

California

Registered Investment Advisory firm - (9/13/2017 Approved)

North Carolina

Registered Investment Advisory firm - (4/2/2018 Approved)

Texas

Registered Investment Advisory firm - (5/13/2019 Conditional Restricted)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

1114 State Street, Santa Barbara, CA 93101

Mailing Address

Phone number

(805) 969-5432

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	21
AUM (Assets Under Management)	$ 46,416,348

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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Alvin C. Moore

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alvin Crawford Moore JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

DUNVEGAN ASSOCIATES INC

DUNVEGAN ASSOCIATES INC

BILTMORE INTERNATIONAL CORPORATION

A.C. MOORE & CO.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/12/2017

Series 24

Date: 11/21/1983

Current Firm

DUNVEGAN ASSOCIATES INC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

DUNVEGAN ASSOCIATES INC

TRUST BUT VERIFY

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