Joe F. Moore
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Joe Farnham Moore, who also goes by Joe Farnham Moore Jr, was a registered financial professional .
Joe is a previously registered financial professional and started their career in finance in 1984. Joe had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 19, 2025 - March 13, 2026
HEROLD & LANTERN INVESTMENTS, INC.
November 27, 2013 - September 22, 2025
MARINER INVESTMENT GROUP
August 24, 1994 - May 1, 2009
MARINER INVESTMENT GROUP
December 10, 1992 - August 17, 1994
RHODES SECURITIES, INC.
August 3, 1992 - November 17, 1992
MOMENTUM INDEPENDENT NETWORK INC.
November 21, 1990 - August 18, 1992
BRIGHTON FINANCIAL CORPORATION, INC.
December 22, 1988 - November 23, 1990
PRINCIPAL FINANCIAL SECURITIES,INC.
May 19, 1988 - January 9, 1989
HOUSTON INVESTMENT SECURITIES BROKERAGE SERVICES, INC.
December 21, 1984 - April 25, 1988
MAY & O'CONNOR CAPITAL INC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
HEROLD & LANTERN INVESTMENTS, INC.
CRD#: 30996 / SEC#: , 8-45285
Contact information
FINRA licenses (51 States and Territories)
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.
