Richard L. Moore

BROOKS, MOORE & ASSOCIATES

CHATTANOOGA, TN 37409

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CRD#: 1822214

Professional summary

Richard Logan Moore, who also goes by Ricky Moore, is a registered financial advisor currently at BROOKS, MOORE & ASSOCIATES, INC. located in Chattanooga, Tennessee.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. Richard has worked at 3 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ricky Moore

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 Richard Logan Moore's CRS (Customer Relationship Summary).

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

June 9, 2004 - Present

BROOKS, MOORE & ASSOCIATES, INC.

Office #1: 3905 Saint Elmo Ave., Chattanooga, TN 37409

RIA

CRD#: 105716

CHATTANOOGA, TN

Past

January 30, 1995 - August 15, 1995

NBC CAPITAL MARKETS GROUP, INC.

CRD#: 18229

MEMPHIS, TN

Past

May 25, 1988 - October 17, 1994

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

MEMPHIS, TN

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".

BROOKS, MOORE & ASSOCIATES, INC.

BROOKS MONTAGUE & ASSOCIATES INC | BROOKS, MOORE & ASSOCIATES, INC.

CRD#: 105716 / SEC#: 801-26708

RIA

Registered Investment Advisory firm - (4/10/1986 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.

Highlighted states indicate IAR registrations

IAR

Tennessee
(6/9/2004)

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

State Security Law Exam

Series 63

Date: 6/8/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 5/21/1988

General Securities Representative Examination

Current Firm

BROOKS, MOORE & ASSOCIATES, INC.

BROOKS MONTAGUE & ASSOCIATES INC | BROOKS, MOORE & ASSOCIATES, INC.

CRD#: 105716 / SEC#: 801-26708

RIA

Registered Investment Advisory firm - (4/10/1986 Approved)

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Contact information

Main Address

3905 Saint Elmo Avenue, Chattanooga, TN 37409-1239

Mailing Address

Phone number

(423) 756-8628

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART II BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	337
AUM (Assets Under Management)	$ 314,335,660

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.

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Richard L. Moore

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Logan Moore's CRS (Customer Relationship Summary).

Certified licenses

Experience

BROOKS, MOORE & ASSOCIATES, INC.

NBC CAPITAL MARKETS GROUP, INC.

MORGAN KEEGAN & COMPANY, LLC

Primary Firm SEC Registration

BROOKS, MOORE & ASSOCIATES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/8/1988

Series 7

Date: 5/21/1988

Current Firm

BROOKS, MOORE & ASSOCIATES, INC.

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BROOKS, MOORE & ASSOCIATES, INC.

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