Robert D. 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.
Robert Douglass Moore was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1998. Robert had worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 14, 2018 - April 5, 2021
CAPITAL ANALYSTS
January 3, 2017 - April 5, 2021
LINCOLN INVESTMENT
July 6, 2011 - October 4, 2019
LEGEND ADVISORY, LLC
June 2, 2000 - January 3, 2017
LEGEND EQUITIES CORPORATION
February 24, 1999 - June 1, 2000
VALIC FINANCIAL ADVISORS, INC.
January 27, 1998 - June 1, 2000
THE VARIABLE ANNUITY MARKETING COMPANY
Primary Firm SEC Registration
CAPITAL ANALYSTS
CRD#: 162200 / SEC#: 801-74614
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
CAPITAL ANALYSTS
CRD#: 162200 / SEC#: 801-74614
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,578 |
| AUM (Assets Under Management) | $ 8,713,202,466 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/28/2024 | ||
| 09/27/2023 | ||
| 03/29/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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