Richard 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.
Richard Moore, who also goes by Richard Martin Moore, Rick Martin Moore, Rick Moore, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1986. Richard had worked at 21 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 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
February 15, 2017 - May 16, 2017
PRINCIPAL SECURITIES, INC.
January 31, 2017 - May 16, 2017
PRINCIPAL SECURITIES, INC.
May 12, 2015 - April 15, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
May 12, 2015 - April 15, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
October 20, 2014 - May 12, 2015
TRANSAMERICA FINANCIAL ADVISORS, LLC
October 17, 2014 - May 12, 2015
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 13, 2014 - September 4, 2014
PNC WEALTH MANAGEMENT LLC
January 8, 2014 - September 4, 2014
PNC WEALTH MANAGEMENT LLC
October 24, 2013 - January 7, 2014
SIGNATOR INVESTORS, INC.
September 20, 2013 - January 7, 2014
SIGNATOR INVESTORS, INC.
February 17, 2012 - September 25, 2013
MSI FINANCIAL SERVICES, INC.
January 27, 2012 - September 25, 2013
MSI FINANCIAL SERVICES, INC.
January 11, 2010 - February 8, 2012
MORGAN STANLEY
January 1, 2010 - February 8, 2012
MORGAN STANLEY
March 13, 2009 - December 31, 2009
VALHALLA CAPITAL ADVISORS, LLC
September 7, 2006 - November 10, 2008
CHARLES SCHWAB & CO., INC.
September 12, 2005 - November 10, 2008
CHARLES SCHWAB & CO., INC.
September 15, 2004 - November 19, 2004
CARTER, TERRY & COMPANY, INC.
September 15, 2004 - November 19, 2004
CARTER, TERRY & COMPANY, INC.
February 23, 2001 - September 27, 2004
CITIGROUP GLOBAL MARKETS INC.
November 8, 2000 - September 27, 2004
CITIGROUP GLOBAL MARKETS INC.
October 7, 1999 - March 7, 2000
BLAKE STREET SECURITIES LLC
August 7, 1998 - June 8, 1999
JANCO PARTNERS, INC.
September 12, 1994 - March 15, 1998
J.C. BRADFORD & CO.
December 17, 1993 - September 16, 1994
PIPER SANDLER & CO.
February 26, 1993 - September 23, 1993
DAIN RAUSCHER INCORPORATED
May 13, 1992 - February 23, 1993
DAIN RAUSCHER INCORPORATED
May 3, 1991 - December 14, 1991
MARQUETTE FINANCIAL GROUP, INC.
November 17, 1988 - May 15, 1990
MML INVESTORS SERVICES, LLC
January 27, 1988 - November 22, 1988
G. R. PHELPS & CO., INC.
June 28, 1986 - January 12, 1988
HAYNE, MILLER & SWEARINGEN, INC.
February 19, 1986 - July 3, 1986
JOHN G. KINNARD AND COMPANY, INCORPORATED
Primary Firm SEC Registration
PRINCIPAL SECURITIES, INC.
CRD#: 1137 / SEC#: 801-54949, 8-13975
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
PRINCIPAL SECURITIES, INC.
CRD#: 1137 / SEC#: 801-54949, 8-13975
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRINCIPAL FINANCIAL SERVICES, INC. | OWNER | |
| AGRAWAL, VIVEK | DIRECTOR | 8050381 |
| CLAIRE, CHAD THOMAS | CHIEF INFORMATION OFFICER | 7219218 |
| DROGAN, THOMAS JOHN | CHIEF COMPLIANCE OFFICER | 2760482 |
| FRIEDRICH, AMY CHRISTINE | DIRECTOR | 7097797 |
| LAWLER, CODY ANTHONY | HEAD OF SUPERVISION, HEAD OF OPERATIONS | 5162072 |
| MCCULLUM, KENNETH ALLEN | DIRECTOR | 4695257 |
| MURRAY, MICHAEL FRANCIS | PRESIDENT/CHIEF EXECUTIVE OFFICER/CHAIR | 2074275 |
| RANTS, DOUGLAS JOHN | CHIEF INFORMATION SECURITY OFFICER | 7148529 |
| ROBERTS, DAWN MARIE | CHIEF FINANCIAL OFFICER | 7929617 |
| SCHELHAAS, NATHAN PAUL | DIRECTOR | 7275495 |
| SPADAFORA, CRAIG ALAN | SENIOR VICE PRESIDENT / HEAD OF ADVISORY AND PLATFORM | 3184320 |
| VANWINKLE, DANIEL SIMON | PSI AML OFFICER | 4715191 |
Regulatory assets under management
| Total Number of Accounts | 63,730 |
| AUM (Assets Under Management) | $ 14,827,718,110 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 09/22/2023 | ||
| 12/20/2022 |
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.
