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Randall Dean Moore

CRD# 1719270·Registered 1987 - 2025
Previously Registered: Being a previously registered professional could mean that Randall 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.

Professional Summary

Randall Dean Moore, who also goes by Randy Moore, was a registered financial advisor. Randall was a previously registered financial professional and started their career in finance 1987 - 2025. Randall had worked at 4 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 6 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Randy Moore

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

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

39 years in the financial services industry

Current & Past Employments

SPC·CRD# 110692
RIA
Colorado Springs, CO
April 1, 2022 - September 30, 2025
PARKLAND SECURITIES, LLC·CRD# 115368
BD
Colorado Springs, CO
April 1, 2022 - September 30, 2025
CETERA ADVISORS LLC·CRD# 10299
RIA
Colorado Springs, CO
January 2, 2015 - April 1, 2022
CETERA ADVISORS LLC·CRD# 10299
BD
Colorado Springs, CO
January 2, 2015 - April 1, 2022
NEW ENGLAND SECURITIES·CRD# 615
RIA
Colorado Springs, CO
August 10, 2006 - January 13, 2015
NEW ENGLAND SECURITIES·CRD# 615
BD
Colorado Springs, CO
August 24, 1987 - January 13, 2015

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Current Firm

SP
SPC

PARKLAND SECURITIES, LLC | SPC | SIGMA PLANNING CORPORATION | SIGMA PLANNING CORP

CRD#: 110692 / SEC#: 801-20404
RIA
Registered Investment Advisory firm - SEC (1/11/1984 Approved)
Alaska
Registered Investment Advisory firm - Alaska (2/13/2002 Cancelled)
Arizona
Registered Investment Advisory firm - Arizona (2/14/2002 Terminated)
California
Registered Investment Advisory firm - California (1/17/2002 Cancelled)
Colorado
Registered Investment Advisory firm - Colorado (2/14/2002 Cancelled)
Delaware
Registered Investment Advisory firm - Delaware (2/14/2002 Terminated)
Hawaii
Registered Investment Advisory firm - Hawaii (3/19/2002 Terminated)
Montana
Registered Investment Advisory firm - Montana (2/12/2002 Terminated)
New Hampshire
Registered Investment Advisory firm - New Hampshire (2/14/2002 Terminated)
New Mexico
Registered Investment Advisory firm - New Mexico (2/14/2002 Terminated)
New York
Registered Investment Advisory firm - New York (1/17/2002 Cancelled)
Rhode Island
Registered Investment Advisory firm - Rhode Island (3/7/2002 Terminated)
Tennessee
Registered Investment Advisory firm - Tennessee (2/14/2002 Terminated)
Utah
Registered Investment Advisory firm - Utah (1/17/2002 Terminated)
Wisconsin
Registered Investment Advisory firm - Wisconsin (1/30/2002 Terminated)
Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Contact Information

Main Address

300 Parkland Plaza, Ann Arbor, MI 48103

Phone Number

(734) 663-1611

# of Employees

471

SEC notice filing (53 States and Territories)

Registered to provide investment advisory services in 53 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

SPC FORM ADV BROCHURE (5/7/2026)

Regulatory Assets Under Management

Total Number of Accounts

26,433

AUM (Assets Under Management)

$6,102,465,817

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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. Agora Wealth Management 2.As an independently licensed insurance agent, I am appointed with various insurance companies. 3.NAME OF OTHER BUSINESS:DBA MOORE INSURANCE AND FINANCIAL SERVICES -TRUE INSURANCE BUSINESS INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED NATURE OF BUSINESS: FIXED INSURANCE START DATE: 08/1987 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT APX NUMBER OF HOURS PER WEEK: .5 HOURS APX NUMBER OF HOURS DURING TRADING HOURS: VARIES BRIEF DESCRIPTION OF DUTIES: SELLING OF FIXED INSURANCE PRODUCT 4. NAME OF OTHER BUSINESS: TRZ ENTERPRISES, LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL ADDRESS; NATURE OF BUSINESS: PURCHASING HOMES TO REMODEL FOR RENTALS OR SELLING; START DATE: 09/2019; POSITION/TITLE/RELATIONSHIP: PRESIDENT; APX NUMBER OF HOURS PER WEEK: 2-3; APX NUMBER OF HOURS DURING TRADING HOURS: 2-3; BRIEF DESCRIPTION OF DUTIES: IN CHARGE OF FINANCIAL SIDE AS TO BUYING AND MANAGING EXPENSES;

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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".
SP
SPC

PARKLAND SECURITIES, LLC | SPC | SIGMA PLANNING CORPORATION | SIGMA PLANNING CORP

CRD#: 110692 / SEC#: 801-20404
RIA
Registered Investment Advisory firm - SEC (1/11/1984 Approved)
Alaska
Registered Investment Advisory firm - Alaska (2/13/2002 Cancelled)
Arizona
Registered Investment Advisory firm - Arizona (2/14/2002 Terminated)
California
Registered Investment Advisory firm - California (1/17/2002 Cancelled)
Colorado
Registered Investment Advisory firm - Colorado (2/14/2002 Cancelled)
Delaware
Registered Investment Advisory firm - Delaware (2/14/2002 Terminated)
Hawaii
Registered Investment Advisory firm - Hawaii (3/19/2002 Terminated)
Montana
Registered Investment Advisory firm - Montana (2/12/2002 Terminated)
New Hampshire
Registered Investment Advisory firm - New Hampshire (2/14/2002 Terminated)
New Mexico
Registered Investment Advisory firm - New Mexico (2/14/2002 Terminated)
New York
Registered Investment Advisory firm - New York (1/17/2002 Cancelled)
Rhode Island
Registered Investment Advisory firm - Rhode Island (3/7/2002 Terminated)
Tennessee
Registered Investment Advisory firm - Tennessee (2/14/2002 Terminated)
Utah
Registered Investment Advisory firm - Utah (1/17/2002 Terminated)
Wisconsin
Registered Investment Advisory firm - Wisconsin (1/30/2002 Terminated)
Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

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

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Jul 2006About the Series 66 exam

Series 65 — Uniform Investment Adviser Law Examination

Passed Dec 1999About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Jun 1988About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Feb 1988About the Series 7 exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Aug 1987About the Series 6 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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