JM
James A. Moore
CAPITAL SYNERGY PARTNERS
IRVINE, CA 92606
Some features on this profile are disabled
CRD#: 1340435
JM
Professional summary
James Al Moore, who also goes by James A Moore, Jim Moore, is a registered financial advisor currently at CAPITAL SYNERGY PARTNERS located in Irvine, California.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. James has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 22, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James A Moore | Jim 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.
CPS EMPLOYEE BENEFITS INSURANCE SOLUTIONS, INC. 2860 MICHELLE DRIVE, SUITE 150 IRVINE, CA 92606 VICE PRESIDENT & EMPLOYEE/COMPLIANCE CONSULTANT FOR ERISA RETIREMENT PLANS EFFECTIVE: 05/01/2015 160 HOURS PER MONTH/80 HOUR PER MONTH DURING MARKET HOURS
CRS (Client Relationship Summary) - RIA
Click below to view James Al Moore's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Al 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
March 19, 2019 - Present
CAPITAL SYNERGY PARTNERS
Office #1: 2860 Michelle Drive, Suite 150, Irvine, CA 92606RIA
BD
CRD#: 148733
IRVINE, CA
Current
March 2, 2017 - Present
CAPITAL SYNERGY PARTNERS
Office #1: 2860 Michelle Drive, Suite 150, Irvine, CA 92606RIA
BD
CRD#: 148733
IRVINE, CA
Past
March 14, 2012 - December 18, 2014
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
IRVINE, CA
Past
January 16, 2007 - January 30, 2015
VOYA FINANCIAL PARTNERS, LLC
BD
CRD#: 34815
GLENDALE, CA
Past
September 28, 2005 - April 17, 2006
LASALLE ST SECURITIES, L.L.C.
BD
CRD#: 7191
ELMHURST, IL
Past
May 9, 2003 - May 20, 2003
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Past
June 28, 1998 - August 29, 2000
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
November 28, 1995 - April 27, 1998
ADP BROKER-DEALER, INC.
BD
CRD#: 37693
ROSELAND, NJ
Past
August 28, 1989 - August 17, 1992
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Past
March 14, 1985 - July 18, 1989
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
RADNOR, PA
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
California(3/3/2017)
IAR
California(3/19/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CS
CAPITAL SYNERGY PARTNERS
CAPITAL SYNERGY PARTNERS | CAPITAL SYNERGY PARTNERS, INC.
CRD#: 148733 / SEC#: 801-117828, 8-68060
RIA
Registered Investment Advisory firm - SEC (5/11/2020 Terminated)Arizona
Registered Investment Advisory firm - SEC (4/4/2013 Approved)Arkansas
Registered Investment Advisory firm - SEC (5/27/2011 Approved)California
Registered Investment Advisory firm - SEC (5/23/2011 Approved)Colorado
Registered Investment Advisory firm - SEC (11/5/2021 Terminated)Connecticut
Registered Investment Advisory firm - SEC (7/9/2018 Approved)District of Columbia
Registered Investment Advisory firm - SEC (5/5/2011 Approved)Florida
Registered Investment Advisory firm - SEC (10/10/2017 Approved)Georgia
Registered Investment Advisory firm - SEC (4/28/2011 Approved)Idaho
Registered Investment Advisory firm - SEC (6/24/2011 Approved)Indiana
Registered Investment Advisory firm - SEC (6/24/2013 Approved)Iowa
Registered Investment Advisory firm - SEC (5/26/2011 Approved)Louisiana
Registered Investment Advisory firm - SEC (1/10/2013 Approved)Massachusetts
Registered Investment Advisory firm - SEC (9/26/2011 Approved)Michigan
Registered Investment Advisory firm - SEC (1/18/2018 Approved)Minnesota
Registered Investment Advisory firm - SEC (3/10/2015 Approved)Missouri
Registered Investment Advisory firm - SEC (8/10/2018 Approved)Montana
Registered Investment Advisory firm - SEC (12/22/2010 Approved)Nebraska
Registered Investment Advisory firm - SEC (2/24/2012 Approved)Nevada
Registered Investment Advisory firm - SEC (6/28/2012 Approved)New Jersey
Registered Investment Advisory firm - SEC (3/29/2011 Approved)North Carolina
Registered Investment Advisory firm - SEC (10/12/2011 Approved)Ohio
Registered Investment Advisory firm - SEC (1/6/2012 Approved)Oklahoma
Registered Investment Advisory firm - SEC (3/9/2018 Approved)Oregon
Registered Investment Advisory firm - SEC (6/23/2015 Approved)Pennsylvania
Registered Investment Advisory firm - SEC (3/5/2012 Approved)South Carolina
Registered Investment Advisory firm - SEC (10/5/2011 Approved)Texas
Registered Investment Advisory firm - SEC (10/26/2016 Approved)Wisconsin
Registered Investment Advisory firm - SEC (8/1/2011 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
2860 Michelle Drive, Suite 150, Irvine, CA 92606
Mailing Address
2860 Michelle Drive, Suite 150, Irvine, CA 92606
Phone number
(949) 442-7413
Established
California since 01/14/1999
Firm type
Corporation
Fiscal year end
September
Firm Size
Small
# of Employees
21
FINRA licenses (50 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 386 |
| AUM (Assets Under Management) | $ 89,105,726 |
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.
