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SM

Scott E. Moore

MOORE PRIVATE WEALTH L.L.C.
Carmel, IN
Some features on this profile are disabled
CRD#: 1773719
SM

Professional summary

Scott Edward Moore is a registered financial advisor currently at MOORE PRIVATE WEALTH L.L.C. located in Carmel, Indiana.

Scott is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Scott has worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

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 Scott Edward 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

September 19, 2022 - Present

MOORE PRIVATE WEALTH L.L.C.

RIA
CRD#: 323313
Carmel, IN
Past

September 10, 2019 - October 4, 2022

RBC CAPITAL MARKETS, LLC

RIA
CRD#: 31194
INDIANAPOLIS, IN
Past

September 10, 2019 - October 4, 2022

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
INDIANAPOLIS, IN
Past

June 1, 2009 - September 5, 2019

MORGAN STANLEY

RIA
CRD#: 149777
INDIANAPOLIS, IN
Past

June 1, 2009 - September 5, 2019

MORGAN STANLEY

BD
CRD#: 149777
INDIANAPOLIS, IN
Past

November 25, 2008 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
INDIANAPOLIS, IN
Past

November 25, 2008 - June 1, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
INDIANAPOLIS, IN
Past

November 1, 2004 - December 1, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
INDIANAPOLIS, IN
Past

November 1, 2004 - December 1, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
INDIANAPOLIS, IN
Past

August 10, 2000 - November 29, 2004

A. G. EDWARDS & SONS, INC.

RIA
CRD#: 4
INDIANAPOLIS, IN
Past

December 7, 1999 - November 29, 2004

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4
ST. LOUIS, MO

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
Indiana
(9/19/2022)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/14/2000
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 12/10/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/3/1999
General Securities Representative Examination

Current Firm

MP
MOORE PRIVATE WEALTH L.L.C.
MOORE PRIVATE WEALTH L.L.C.

CRD#: 323313 / SEC#:

Indiana
Registered Investment Advisory firm - (9/19/2022 Approved)
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Contact information

Main Address
Carmel, IN
Mailing Address
Phone number
(317) 437-7667
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts39
AUM (Assets Under Management)$ 22,580,606

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.

Company Information

MOORE PRIVATE WEALTH L.L.C.

CRD#: 323313Carmel, IN

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