RM
Richard G. Mooney
AMB WEALTH
Thomasville, GA 31792
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CRD#: 1557033
RM
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, Series 79TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Richard Gordon Iii Mooney
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. BILL & EMILY SEARCY CHARITABLE TRUST--CO-TRUSTEE SINCE 2007--THIS IS A CHARITABLE TRUST SET UP UNDER THE WILLS OF BILL AND EMILY SEARCY. ABOUT 2 HOUR PER MONTH FOR DUTIES RELATED TO THIS TRUST. 2. CO-TRUSTEE OF ESTATE FOR SANDRA MOCK. 3.THOMASVILLE ENTERTAINMENT FOUNDATION ENDOWMENT TRUST-PERMANENT TRUSTEE-SUPPORTS THE THOMASVILLE ENTERTAINMENT FOUNDATION WHICH IS A GEORGIA NON-PROFIT ORGANIZATION; Non-investment related. 4. Licensed Insurance Agent: Non-variable insurance / investment related; 1 hour monthly and during market hours; Start date: 02/05/2008
CRS (Client Relationship Summary) - RIA
Click below to view Richard Gordon Mooney III'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
February 23, 2018 - Present
AMB WEALTH, LLC
Office #1: 135 South Madison Street, Thomasville, GA 31792RIA
CRD#: 113106
Thomasville, GA
Current
March 29, 2007 - Present
ALLEN, MOONEY & BARNES BROKERAGE SERVICES, LLC
Office #1: 135 S. Madison Street, Thomasville, GA 31792Office #2: 135 S Madison Street, Thomasville, GA 31792BD
CRD#: 142619
Thomasville, GA
Past
October 13, 2004 - December 31, 2017
AMB WEALTH, LLC
RIA
CRD#: 113106
THOMASVILLE, GA
Past
January 12, 2001 - April 24, 2007
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
THOMASVILLE, GA
Past
September 5, 1989 - February 12, 2001
SHIELDS & COMPANY
BD
CRD#: 11053
NEW YORK, NY
Past
May 16, 1989 - August 3, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
BD
CRD#: 6403
Past
September 26, 1986 - May 16, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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".
AW
AMB WEALTH, LLC
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
CRD#: 113106 / SEC#: 801-60350
RIA
Registered Investment Advisory firm - (6/13/2001 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.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
Alabama(6/18/2007)
RR
Connecticut(9/15/2023)
RR
Florida(5/7/2018)
IAR
Florida(6/27/2018)
RR
Georgia(4/18/2007)
IAR
Georgia(2/23/2018)
RR
Illinois(5/9/2007)
RR
Kentucky(1/21/2020)
RR
Maryland(8/25/2022)
RR
South Carolina(2/7/2017)
IAR
South Carolina(6/6/2023)
RR
Virginia(4/30/2007)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 6/23/2008
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
AW
AMB WEALTH, LLC
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
CRD#: 113106 / SEC#: 801-60350
RIA
Registered Investment Advisory firm - (6/13/2001 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
135 South Madison Street, Thomasville, GA 31792
Mailing Address
P.o. Box 1116, Thomasville, GA 31799-1116
Phone number
(866) 277-1500
Established
Firm type
Fiscal year end
# of Employees
22
SEC notice filing (11 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 985 |
| AUM (Assets Under Management) | $ 1,010,736,265 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
AMB WEALTH, LLC
CRD#: 113106Thomasville, GA 31792TRUST BUT VERIFY
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