Frances F. Moore

WATERLOO CAPITAL

AUSTIN, TX 78746

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CRD#: 1534194

Professional summary

Frances Frazer Moore, AIF®, who also goes by Frances A Frazer, Frances Frazer, Polly Frazer, Polly Moore, is a registered financial advisor currently at WATERLOO CAPITAL located in Austin, Texas.

Frances is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Frances has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 6, Series 52, Series 24 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Frances A Frazer | Frances Frazer | Polly Frazer | Polly 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.

All Saints Episcopal Church Endowment Church Endowment Fund Treasurer of the Endowment Fund Since 01/2023 Not investment related Partner and Advisor with MAM Group LLC dba AMG Wealth Advisors; manages client assets.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frances Frazer Moore's CRS (Customer Relationship Summary).

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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

April 17, 2018 - Present

WATERLOO CAPITAL

Office #1: 2801 Via Fortuna Suite 250, Austin, TX 78746

RIA

CRD#: 133705

AUSTIN, TX

Past

February 13, 2013 - April 19, 2018

RAYMOND JAMES & ASSOCIATES, INC.

RIA

CRD#: 705

AUSTIN, TX

Past

February 13, 2013 - April 19, 2018

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

AUSTIN, TX

Past

March 8, 1996 - February 13, 2013

MORGAN KEEGAN & COMPANY, LLC

RIA

CRD#: 4161

AUSTIN, TX

Past

March 8, 1996 - February 13, 2013

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

AUSTIN, TX

Past

January 23, 1991 - April 4, 1996

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

NEW YORK, NY

Past

April 2, 1990 - January 28, 1991

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

BOSTON, MA

Past

February 8, 1988 - June 26, 1989

INVEST FINANCIAL CORPORATION

CRD#: 12984

Past

November 6, 1987 - April 2, 1990

NCNB TEXAS SECURITIES, INC.

CRD#: 16882

Past

August 29, 1986 - November 6, 1987

REPUBLICBANK FINANCIAL MARKETS, INC.

CRD#: 18040

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".

WATERLOO CAPITAL

CRD#: 133705 / SEC#: 801-63975

RIA

Registered Investment Advisory firm - (3/11/2005 Approved)

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.

Highlighted states indicate IAR registrations

IAR

Texas
(4/17/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/20/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/15/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 4/19/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 6/20/2005

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 3/19/1988

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/30/1985

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 52

Date: 8/10/1982

Municipal Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/17/1989

General Securities Principal Examination

Principal/Supervisory Exam

Series 53

Date: 5/4/1983

Municipal Securities Principal Examination

Current Firm

WATERLOO CAPITAL

CRD#: 133705 / SEC#: 801-63975

RIA

Registered Investment Advisory firm - (3/11/2005 Approved)

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Contact information

Main Address

2801 Via Fortuna Suite 250, Austin, TX 78746

Mailing Address

Phone number

(512) 777-5900

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WATERLOO CAPITAL WRAP FEE PROGRAM BROCHURE (7/29/2025)

WATERLOO CAPITAL PART 2A (7/29/2025)

Regulatory assets under management

Total Number of Accounts	6,775
AUM (Assets Under Management)	$ 1,686,618,820

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.

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Firm Stability Insights

Frances F. Moore

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frances Frazer Moore's CRS (Customer Relationship Summary).

Certified licenses

Experience

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

MORGAN KEEGAN & COMPANY, LLC

MORGAN KEEGAN & COMPANY, LLC

BANC OF AMERICA SECURITIES LLC

BANC OF AMERICA INVESTMENT SERVICES, INC.

INVEST FINANCIAL CORPORATION

NCNB TEXAS SECURITIES, INC.

REPUBLICBANK FINANCIAL MARKETS, INC.

Primary Firm SEC Registration

WATERLOO CAPITAL

State Registrations and Notice Filings

Exams

Series 65

Date: 5/20/1996

Series 63

Date: 7/15/1985

SIE

Date: 4/19/2018

Series 31

Date: 6/20/2005

Series 7

Date: 3/19/1988

Series 6

Date: 8/30/1985

Series 52

Date: 8/10/1982

Series 24

Date: 7/17/1989

Series 53

Date: 5/4/1983

Current Firm

WATERLOO CAPITAL

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WATERLOO CAPITAL

TRUST BUT VERIFY

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