David F. Moore

INDEPENDENT SOLUTIONS WEALTH MANAGEMENT

Willaimsville, NY

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CRD#: 1324619

Professional summary

David Franklin Moore, CFP®, CLU®, who also goes by David F Moore, David Moore, is a registered financial advisor currently at INDEPENDENT SOLUTIONS WEALTH MANAGEMENT, LLC located in Willaimsville, New York and PEAK BROKERAGE SERVICES, LLC located in Rochester, New York.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. David has worked at 14 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

David F Moore | David Moore

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) Business Entity: Moore Financial Group; Business Activity: Insurance Agent; Duties of Position: sell life insurance; Title: Agent; Start Date: 4/2024; Approx. # of hours per month spent on activity: 20; Approx. # of hours spent during trading hours: 20 2) Business Entity: Peak Brokerage Services; Business Activity: Broker Dealer; Title: Registered Representative; Start Date: 4/2024; Approx. # of hours per month spent on activity: 20; Approx. # of hours spent during trading hours: 20 3) Business Entity: Independent Solutions Wealth Management, LLC; Business Activity: RIA; Title: IAR; Start Date: 4/2024; Approx. # of hours per month spent on activity: 20; Approx. # of hours spent during trading hours: 20 4) Business Entity: The Financial Guys; Business Activity: DBA & Radio Show; Title: Wealth Manager; Start Date: 4/2024; Approx. # of hours per month spent on activity: 20; Approx. # of hours spent during trading hours: 20

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Franklin 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

CLU^®

Chartered Life Underwriter

Experience

Current

April 17, 2024 - Present

INDEPENDENT SOLUTIONS WEALTH MANAGEMENT, LLC

RIA

CRD#: 144733

Willaimsville, NY

Current

April 17, 2024 - Present

PEAK BROKERAGE SERVICES, LLC

Office #1: 3445 Winton Place Suite 119 - 120, Rochester, NY 14623Office #2: 8624 State Rt 21, Naples, NY 14512

CRD#: 157045

Rochester, NY

Past

July 21, 2021 - April 22, 2024

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

Naples, NY

Past

July 14, 2021 - April 22, 2024

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

Rochester, NY

Past

January 15, 2020 - July 15, 2021

MML INVESTORS SERVICES, LLC

CRD#: 10409

ROCHESTER, NY

Past

July 22, 2019 - January 2, 2020

CREATIVEONE WEALTH, LLC

RIA

CRD#: 281213

Naples, NY

Past

January 12, 2018 - July 12, 2019

MML INVESTORS SERVICES, LLC

CRD#: 10409

Naples, NY

Past

July 15, 2015 - March 8, 2016

AMERICAN PORTFOLIOS ADVISORS, INC

RIA

CRD#: 112697

HOLBROOK, NY

Past

April 9, 2015 - January 5, 2018

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

CRD#: 18487

Naples, NY

Past

November 4, 2014 - April 13, 2015

CREATIVEONE SECURITIES, LLC

CRD#: 152974

Naples, NY

Past

March 6, 2013 - October 17, 2014

CREATIVEONE SECURITIES, LLC

CRD#: 152974

NAPLES, NY

Past

October 2, 1990 - January 1, 2002

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

MILWAUKEE, WI

Past

October 2, 1990 - March 7, 2013

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

NAPLES, NY

Past

April 9, 1987 - September 6, 1990

MAIN STREET MANAGEMENT COMPANY

CRD#: 547

BOSTON, MA

Past

November 22, 1985 - April 13, 1987

KEOGLER, MORGAN & COMPANY, INC.

CRD#: 16546

Past

December 18, 1984 - December 2, 1985

E. F. HUTTON & COMPANY INC

CRD#: 235

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".

INDEPENDENT SOLUTIONS WEALTH MANAGEMENT, LLC

CRD#: 144733 / SEC#: 801-69708

RIA

Registered Investment Advisory firm - (11/10/2008 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.

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

Florida
(5/7/2024)

New York
(4/17/2024)

IAR

New York
(4/17/2024)

Ohio
(4/23/2024)

Pennsylvania
(4/17/2024)

South Carolina
(4/17/2024)

Virginia
(4/17/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 12/27/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 1/25/1985

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 12/15/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/7/1989

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

INDEPENDENT SOLUTIONS WEALTH MANAGEMENT, LLC

CRD#: 144733 / SEC#: 801-69708

RIA

Registered Investment Advisory firm - (11/10/2008 Approved)

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Contact information

Main Address

305 Spindrift Drive, Williamsville, NY 14221

Mailing Address

Phone number

(716) 568-8566

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (24 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ISWM FORM ADV PART 2A (3/27/2025)

Regulatory assets under management

Total Number of Accounts	6,427
AUM (Assets Under Management)	$ 1,226,210,629

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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Advisor Monitoring

Firm Stability Insights

David F. Moore

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

PEAK BROKERAGE SERVICES, LLC

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

MML INVESTORS SERVICES, LLC

CREATIVEONE WEALTH, LLC

MML INVESTORS SERVICES, LLC

AMERICAN PORTFOLIOS ADVISORS, INC

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

CREATIVEONE SECURITIES, LLC

CREATIVEONE SECURITIES, LLC

ROBERT W. BAIRD & CO. INCORPORATED

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

MAIN STREET MANAGEMENT COMPANY

KEOGLER, MORGAN & COMPANY, INC.

E. F. HUTTON & COMPANY INC

Primary Firm SEC Registration

INDEPENDENT SOLUTIONS WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/27/1984

SIE

Date: 10/1/2018

Series 3

Date: 1/25/1985

Series 7

Date: 12/15/1984

Series 24

Date: 6/7/1989

FINRA

Current Firm

INDEPENDENT SOLUTIONS WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (24 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

INDEPENDENT SOLUTIONS WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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