Kathleen S. 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.
Kathleen Susan Moore, CFP®, who also goes by Kathleen Susan Mathis, Kathleen S Sleeth, was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 1996. Kathleen had worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 51 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
Start date: 1989
Experience
January 2, 2009 - August 23, 2021
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
July 2, 2004 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 4, 2003 - May 7, 2004
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 16, 2003 - August 23, 2021
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 21, 1996 - May 15, 2003
CETERA INVESTMENT SERVICES LLC
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
