Richard Gordon Mooney III
Professional Summary
Richard Gordon Mooney III, who also goes by Richard Gordon III Mooney, is a registered financial advisor currently at AMB WEALTH, LLC located in Thomasville, Georgia and ALLEN, MOONEY & BARNES BROKERAGE SERVICES, LLC located in Thomasville, Georgia. Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Richard has worked at 6 firms and has passed the Series 65, Series 63, Series 57TO,...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Richard Gordon Mooney III, Richard Gordon Iii Mooney
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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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Years of Experience
40 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
ALLEN & MOONEY INVESTMENT ADVISORS, LLC | HAWK STREET WEALTH | AMB WEALTH, LLC | ALLEN, MOONEY & BARNES INVESTMENT ADVISORS, LLC | ALLEN, MOONEY & BARNES INVESTMENT ADVISORS LLC | ALLEN MOONEY BARNES INVESTMENT ADVISORS | ALLEN & MOONEY INVESTMENTS, LLC
Contact Information
Main Address
135 South Madison Street, Thomasville, GA 31792Mailing Address
P.o. Box 1116, Thomasville, GA 31799-1116Phone Number
(866) 277-1500# of Employees
23SEC notice filing (11 States and Territories)
Registered to provide investment advisory services in 11 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
1,157AUM (Assets Under Management)
$1,074,797,415Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
ALLEN & MOONEY INVESTMENT ADVISORS, LLC | HAWK STREET WEALTH | AMB WEALTH, LLC | ALLEN, MOONEY & BARNES INVESTMENT ADVISORS, LLC | ALLEN, MOONEY & BARNES INVESTMENT ADVISORS LLC | ALLEN MOONEY BARNES INVESTMENT ADVISORS | ALLEN & MOONEY INVESTMENTS, LLC
State Registrations and Notice Filings
(6/18/2007)
(9/15/2023)
(5/7/2018)
(6/27/2018)
(4/18/2007)
(2/23/2018)
(5/9/2007)
(1/21/2020)
(8/25/2022)
(2/7/2017)
(6/6/2023)
(5/20/2026)
(4/30/2007)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 55 — Limited Representative-Equity Trader Exam
Passed Jun 2008SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Richard Gordon Mooney III's CRS (Customer Relationship Summary).
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