JM
James T. Moore
WEDBUSH SECURITIES
Lexington, KY
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CRD#: 1384706
JM
Professional summary
James Tylor Moore, who also goes by James T Moore, Jim T Moore, is a registered financial advisor currently at WEDBUSH SECURITIES INC. located in Lexington, Kentucky.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. James has worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James T Moore | Jim T 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) 05/26/2016: Citizens Wealth Management - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start 06/30/2016 - 160 Hr/Mo; 8 Hour(s) During Securities Trading.
CRS (Client Relationship Summary) - RIA
Click below to view James Tylor Moore's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Tylor 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 1, 2024 - Present
WEDBUSH SECURITIES INC.
RIA
BD
CRD#: 877
Lexington, KY
Current
March 1, 2024 - Present
WEDBUSH SECURITIES INC.
Office #1: Metropoint I 4600 So. Ulster St #1350, Denver, CO 80237RIA
BD
CRD#: 877
Denver, CO
Past
April 28, 2022 - March 5, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
LEXINGTON, KY
Past
April 28, 2022 - March 5, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
LEXINGTON, KY
Past
October 12, 2015 - May 11, 2022
LPL FINANCIAL LLC
RIA
CRD#: 6413
ASHLAND, KY
Past
October 11, 2011 - May 11, 2022
LPL FINANCIAL LLC
BD
CRD#: 6413
ASHLAND, KY
Past
October 31, 2007 - October 11, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
BD
CRD#: 13787
ASHLAND, KY
Past
September 25, 2002 - October 4, 2002
CASSANDRA TRADING GROUP, LLC
BD
CRD#: 117818
CHICAGO, IL
Past
March 23, 2001 - February 26, 2002
DASH PRIME LLC
BD
CRD#: 41257
CHICAGO, IL
Past
July 15, 1996 - August 10, 2000
ELECTRONIC TRADING GROUP, LLC
BD
CRD#: 37453
NEW YORK, NY
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".
WEDBUSH SECURITIES INC.
WEDBUSH MORGAN SECURITIES INC. | WEDBUSH, NOBLE, COOKE, INC | WEDBUSH SECURITIES, INC. | WEDBUSH SECURITIES INC. | WEDBUSH PACGROW
CRD#: 877 / SEC#: 801-6358, 8-12987
RIA
Registered Investment Advisory firm - SEC (2/27/1970 Approved)California
Registered Investment Advisory firm - SEC (8/28/2006 Cancelled)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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
Florida(3/4/2024)
RR
Georgia(3/4/2024)
RR
Illinois(3/13/2024)
IAR
Kentucky(3/1/2024)
RR
Kentucky(3/8/2024)
RR
Ohio(3/1/2024)
RR
South Carolina(3/12/2024)
RR
Texas(3/4/2024)
IAR
Texas(3/4/2024)
RR
West Virginia(3/11/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
WEDBUSH SECURITIES INC.
WEDBUSH MORGAN SECURITIES INC. | WEDBUSH, NOBLE, COOKE, INC | WEDBUSH SECURITIES, INC. | WEDBUSH SECURITIES INC. | WEDBUSH PACGROW
CRD#: 877 / SEC#: 801-6358, 8-12987
RIA
Registered Investment Advisory firm - SEC (2/27/1970 Approved)California
Registered Investment Advisory firm - SEC (8/28/2006 Cancelled)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
225 S. Lake Ave Penthouse 225 S. Lake Ave Penthouse, Pasadena, CA 91101
Mailing Address
225 S. Lake Ave Penthouse Attn: Compliance, Pasadena, CA 91101
Phone number
(213) 688-8000
Established
California since 07/08/1966
Firm type
Corporation
Fiscal year end
June
Firm Size
Large
# of Employees
897
SEC notice filing (53 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WEDBUSH FINANCIAL SERVICES, LLC | OWNER | |
| BILLINGS, DANIEL ERIC | EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER, DIRECTOR | 4568232 |
| BLAND, GEOFFREY CONOR | DIRECTOR | 7358773 |
| DEMPSEY, FRANCIS BURKE | EXECUTIVE VICE PRESIDENT | 2428325 |
| DRUCH, ANDREW WALTER | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, CHIEF ADMINISTRATIVE OFFICER, DIRECTOR | 1688071 |
| FITZSIMMONS, ROBERT GERARD | EXECUTIVE VICE PRESIDENT | 1878661 |
| FRAUNCES, KIRSTEN CAMPBELL | EXECUTIVE VICE PRESIDENT | 2933930 |
| HULTGREN, DONALD WAYNE | EXECUTIVE CHAIR, DIRECTOR | 1475369 |
| MONE, CHRISTOPHER MICHAEL | EXECUTIVE VICE PRESIDENT | 2401952 |
| PARRODE, RODRIGO NMN | EVP, CHIEF OPERATING OFFICER | 4905345 |
| PASET, ROBERT EDWARD | EXECUTIVE VICE PRESIDENT | 1055902 |
| PRESTON, ERIN KATHLEEN | CHIEF COMPLIANCE OFFICER | 5314250 |
| WEDBUSH, GARY LANCE | PRESIDENT, DIRECTOR | 2234455 |
Regulatory assets under management
| Total Number of Accounts | 10,048 |
| AUM (Assets Under Management) | $ 5,684,848,455 |
Disclosures
| Regulatory Event | 147 |
| Civil Event | 3 |
| Arbitration | 60 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2024 | ||
| 04/26/2024 | ||
| 12/21/2022 |
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.
