Thomas H. Moore

CLEMENSEN CAPITAL COMPANY LLC

NEWARK, NJ

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CRD#: 1554536

Professional summary

Thomas Henry Moore, who also goes by Tom Moore, is a registered financial advisor currently at CLEMENSEN CAPITAL COMPANY LLC located in Newark, New Jersey.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Thomas has worked at 9 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tom 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Henry 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®

None

Experience

Current

October 11, 2021 - Present

CLEMENSEN CAPITAL COMPANY LLC

RIA

CRD#: 166837

NEWARK, NJ

Past

August 29, 2016 - November 13, 2019

MORGAN STANLEY

RIA

CRD#: 149777

LITTLE FALLS, NJ

Past

July 26, 2016 - November 13, 2019

MORGAN STANLEY

CRD#: 149777

LITTLE FALLS, NJ

Past

April 13, 2010 - June 14, 2012

HILLTOP SECURITIES INC.

CRD#: 6220

BLOOMFIELD, NJ

Past

September 12, 2006 - March 10, 2008

MORGAN STANLEY DISTRIBUTION, INC.

CRD#: 30344

NEW YORK, NY

Past

February 24, 1994 - October 10, 2006

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

February 8, 1990 - March 2, 1994

RODMAN & RENSHAW INC.

CRD#: 724

CHICAGO, IL

Past

October 20, 1989 - November 30, 1989

WHITEHILL CAPITAL, INC.

CRD#: 16557

Past

February 17, 1989 - August 30, 1989

UNDERWOOD, NEUHAUS & CO., INCORPORATED

CRD#: 839

HOUSTON, TX

Past

October 22, 1986 - November 4, 1988

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

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

California
(10/11/2021)

IAR

Massachusetts
(8/3/2023)

IAR

New Jersey
(10/18/2021)

IAR

New York
(10/24/2021)

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 66

Date: 8/25/2016

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/31/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/26/2016

General Securities Representative Examination

Current Firm

CLEMENSEN CAPITAL COMPANY LLC

CRD#: 166837 / SEC#:

California

Registered Investment Advisory firm - (11/18/2013 Approved)

Massachusetts

Registered Investment Advisory firm - (7/13/2018 Approved)

New Jersey

Registered Investment Advisory firm - (11/7/2013 Approved)

New York

Registered Investment Advisory firm - (11/13/2013 Approved)

Texas

Registered Investment Advisory firm - (6/21/2023 Approved)

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Contact information

Main Address

West Orange, NJ

Mailing Address

Phone number

(973) 243-0202

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	215
AUM (Assets Under Management)	$ 58,557,052

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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Advisor Monitoring

Firm Stability Insights

Thomas H. Moore

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Henry Moore's CRS (Customer Relationship Summary).

Certified licenses

Experience

MORGAN STANLEY

MORGAN STANLEY

HILLTOP SECURITIES INC.

MORGAN STANLEY DISTRIBUTION, INC.

MORGAN STANLEY DW INC.

RODMAN & RENSHAW INC.

WHITEHILL CAPITAL, INC.

UNDERWOOD, NEUHAUS & CO., INCORPORATED

PERSHING LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/25/2016

Series 63

Date: 3/31/2010

SIE

Date: 10/1/2018

Series 7

Date: 7/26/2016

Current Firm

CLEMENSEN CAPITAL COMPANY LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

CLEMENSEN CAPITAL COMPANY LLC

TRUST BUT VERIFY

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