Curtis L. 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.
Curtis Lance Moore, who also goes by Curtis Lamont Moore, Curtis Moore, was a registered financial professional .
Curtis is a previously registered financial professional and started their career in finance in 1988. Curtis had worked at 10 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 31, 2020 - July 28, 2021
TRANSAMERICA FINANCIAL ADVISORS, LLC
July 29, 2020 - July 28, 2021
TRANSAMERICA FINANCIAL ADVISORS, LLC
April 27, 2018 - October 16, 2019
J.P. MORGAN SECURITIES LLC
December 11, 2017 - October 16, 2019
J.P. MORGAN SECURITIES LLC
July 2, 2014 - December 15, 2015
AVANTAX INVESTMENT SERVICES, INC.
January 14, 2013 - February 10, 2014
TRANSAMERICA FINANCIAL ADVISORS, LLC
April 1, 2011 - December 31, 2012
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
September 1, 2009 - April 4, 2011
AVANTAX INVESTMENT SERVICES, INC.
February 11, 2009 - August 4, 2009
EDWARD JONES
January 15, 2009 - August 4, 2009
EDWARD JONES
October 12, 1989 - December 18, 1991
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
October 12, 1989 - December 18, 1991
PRUCO SECURITIES, LLC.
March 30, 1989 - April 17, 1989
FORESTERS FINANCIAL SERVICES, INC.
January 16, 1989 - February 8, 1989
BRENNAN ROSS SECURITIES, INC.
December 21, 1988 - January 28, 1989
THE STUART-JAMES COMPANY, INCORPORATED
Primary Firm SEC Registration
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
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
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 42,440 |
| AUM (Assets Under Management) | $ 1,730,669,809 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 3 |
| Bond | 3 |
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.
