Katherine Ann Moore
Professional Summary
Katherine Ann Moore, who also goes by Kat Moore, Katharine Ann Moore, Kathy Moore, was a registered financial advisor. Katherine was a previously registered financial advisor and started their career in finance 1985 - 2008. Katherine had worked at 14 firms and has passed the Series 66, Series 63, Series 55, Series 7, Series 53, Series 28 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Kat Moore, Katharine Ann Moore, Kathy Moore
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
36 years in the financial services industry
Current & Past Employments
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Current Firm
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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.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Jan 2005Series 28 — Introducing Broker/Dealer Financial Operations Principal Examination
Passed Mar 2002About the Series 28 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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