Peter A. Moore

ASHFORD SECURITIES LLC

Dallas, TX 75254

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CRD#: 1979755

Professional summary

Peter Alfred Moore JR, who also goes by Peter A. Moore Jr., Peter Alfred Jr Moore, Peter Moore Jr, is a registered financial professional currently at ASHFORD SECURITIES LLC located in Dallas, Texas.

Peter is registered as a RR (Registered Representative) and started their career in finance in 1989. Peter has worked at 21 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 10, Series 9, Series 4, Series 24 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Peter A. Moore Jr. | Peter Alfred Jr Moore | Peter Moore Jr

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) - BD

Click below to view Peter Alfred Moore JR'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

March 8, 2023 - Present

ASHFORD SECURITIES LLC

Office #1: 14185 Dallas Parkway, Suite 780, Dallas, TX 75254

CRD#: 305330

Dallas, TX

Past

May 17, 2022 - February 16, 2023

ALTACCESS SECURITIES COMPANY, L.P.

CRD#: 119441

Dallas, TX

Past

January 5, 2022 - June 3, 2022

CL WEALTH MANAGEMENT LLC

RIA

CRD#: 134922

Plano, TX

Past

June 8, 2021 - June 3, 2022

CABOT LODGE SECURITIES LLC

CRD#: 159712

NEW YORK, NY

Past

November 21, 2019 - June 11, 2021

EMERSON EQUITY LLC

CRD#: 130032

Plano, TX

Past

October 30, 2019 - June 11, 2021

EMERSON EQUITY LLC

RIA

CRD#: 130032

Plano, TX

Past

November 29, 2016 - October 7, 2018

OAKLINE ADVISORS, LLC

RIA

CRD#: 168995

DALLAS, TX

Past

July 19, 2010 - December 31, 2014

URBANAMERICA PRINCIPALS III, LLC

RIA

CRD#: 152151

ADDISON, TX

Past

July 19, 2010 - December 31, 2014

URBANAMERICA PRINCIPALS II, LLC

RIA

CRD#: 152649

ADDISON, TX

Past

July 16, 2010 - December 31, 2014

URBANAMERICA PRINCIPALS, LLC

RIA

CRD#: 152648

ADDISON, TX

Past

June 15, 2010 - December 31, 2014

URBANAMERICA ADVISORS, LLC

RIA

CRD#: 152044

ARLINGTON, TX

Past

March 13, 2008 - October 3, 2018

PROVASI CAPITAL PARTNERS LP

CRD#: 119539

DALLAS, TX

Past

February 19, 2008 - March 10, 2008

1ST GLOBAL CAPITAL CORP.

CRD#: 30349

DALLAS, TX

Past

January 12, 2007 - February 1, 2008

PROVASI CAPITAL PARTNERS LP

CRD#: 119539

ADDISON, TX

Past

September 6, 2006 - December 11, 2006

UVEST FINANCIAL SERVICES GROUP, INC.

RIA

CRD#: 13787

RICHARDSON, TX

Past

September 6, 2006 - December 11, 2006

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

CHARLOTTE, NC

Past

January 17, 2006 - September 6, 2006

OSAIC FA, INC.

RIA

CRD#: 3978

DALLAS, TX

Past

January 17, 2006 - April 6, 2006

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

DALLAS, TX

Past

January 17, 2006 - September 6, 2006

OSAIC FA, INC.

CRD#: 3978

DALLAS, TX

Past

July 14, 2005 - December 20, 2005

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

GARLAND, TX

Past

July 14, 2005 - December 20, 2005

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

CHICAGO, IL

Past

June 30, 2003 - April 15, 2005

AMERIPRISE ADVISOR SERVICES, INC.

RIA

CRD#: 5979

PLANO, TX

Past

March 6, 2003 - July 10, 2003

CHOREO, LLC

RIA

CRD#: 111221

PLANO, TX

Past

April 12, 1999 - April 15, 2005

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

DETROIT, MI

Past

September 18, 1998 - April 23, 1999

AMERICAN GENERAL SECURITIES INCORPORATED

CRD#: 13626

PHOENIX, AZ

Past

September 10, 1991 - August 28, 1998

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

Past

November 21, 1989 - May 31, 1990

NORTHGATE SECURITIES INC.

CRD#: 21188

SPRING, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Texas
(3/8/2023)

Exams

State Security Law Exam

IAR

Series 65

Date: 3/30/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/30/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/18/1989

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 1/2/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 1/2/2023

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 4

Date: 11/24/1998

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 2/24/1995

General Securities Principal Examination

Principal/Supervisory Exam

Series 8

Date: 5/9/1994

General Securities Sales Supervisor Examination (Options Module & General Module)

SRO Registrations

FINRA

Current Firm

ASHFORD SECURITIES LLC

CRD#: 305330 / SEC#: , 8-70405

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

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Contact information

Main Address

14185 Dallas Parkway, Suite 780, Dallas, TX 75254

Mailing Address

14185 Dallas Parkway, Suite 780, Dallas, TX 75254

Phone number

(469) 729-0500

Established

Delaware since 07/15/2019

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
KYLEMORE HOLDINGS LLC	SOLE MEMBER
MOORE, PETER ALFRED JR	CHIEF COMPLIANCE OFFICER	1979755
STEIGERWALD, CARL JACOB III	CEO	1231837
SUMNER, GARRETT BRUCE JR	FINOP/ PFO/ POO	6320306

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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Advisor Monitoring

Firm Stability Insights

Peter A. Moore

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Peter Alfred Moore JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALTACCESS SECURITIES COMPANY, L.P.

CL WEALTH MANAGEMENT LLC

CABOT LODGE SECURITIES LLC

EMERSON EQUITY LLC

EMERSON EQUITY LLC

OAKLINE ADVISORS, LLC

URBANAMERICA PRINCIPALS III, LLC

URBANAMERICA PRINCIPALS II, LLC

URBANAMERICA PRINCIPALS, LLC

URBANAMERICA ADVISORS, LLC

PROVASI CAPITAL PARTNERS LP

1ST GLOBAL CAPITAL CORP.

PROVASI CAPITAL PARTNERS LP

UVEST FINANCIAL SERVICES GROUP, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

OSAIC FA, INC.

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

AMERIPRISE ADVISOR SERVICES, INC.

CHOREO, LLC

AMERIPRISE ADVISOR SERVICES, INC.

AMERICAN GENERAL SECURITIES INCORPORATED

TD AMERITRADE, INC.

NORTHGATE SECURITIES INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/30/2001

Series 63

Date: 10/30/1989

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 11/18/1989

Series 10

Date: 1/2/2023

Series 9

Date: 1/2/2023

Series 4

Date: 11/24/1998

Series 24

Date: 2/24/1995

Series 8

Date: 5/9/1994

FINRA

Current Firm

ASHFORD SECURITIES LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

ASHFORD SECURITIES LLC

TRUST BUT VERIFY

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