Greg A. Hartenbower

JOHN MOORE & ASSOCIATES

SCOTTSDALE, AZ 85260

Some features on this profile are disabled

CRD#: 2017584

Professional summary

Greg Alan Hartenbower, who also goes by Greg Alan Alan Hartenbower, is a registered financial advisor currently at JOHN MOORE & ASSOCIATES INC located in Scottsdale, Arizona.

Greg is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1990. Greg has worked at 11 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 7 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Greg Alan Alan Hartenbower

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) 316 RETREATS. NOT INVESTMENT RELATED. RELIGIOUS. RETREAT DIRECTOR. STARTED:12/2017. PHOENIX, AZ. 4 HRS PER MONTH, 0 DURING TRADING HRS. FACILITATE MEN'S RETREATS FOR CHURCHES THROUGHOUT ARIZONA. 2) JOHN MOORE & ASSOCIATES, INC.; SCOTTSDALE, AZ; EMPLOYEE; INVESTMENT RELATED; STARTED 06/20/2016 TO PRESENT; 160 HRS MO DEVOTED; 120 HRS MO DURING TRADING; I PROVIDE CUSTOMER SERVICE FOR THE FINANCIAL ADVISORS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Greg Alan Hartenbower'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 14, 2025 - Present

JOHN MOORE & ASSOCIATES INC

Office #1: 14500 N. Northsight Suite #302, Scottsdale, AZ 85260

RIA

CRD#: 109791

SCOTTSDALE, AZ

Past

July 26, 2016 - October 19, 2020

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

Scotsdale, AZ

Past

July 15, 2016 - October 19, 2020

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

SCOTTSDALE, AZ

Past

July 15, 2008 - June 21, 2016

USAA FINANCIAL PLANNING SERVICES

RIA

CRD#: 106352

PHOENIX, AZ

Past

May 30, 2008 - June 21, 2016

USAA FINANCIAL ADVISORS, INC.

CRD#: 129035

PHOENIX, AZ

Past

October 19, 2005 - June 22, 2006

CHARLES SCHWAB & CO., INC.

CRD#: 5393

SCOTTSDALE, AZ

Past

July 6, 2005 - September 20, 2005

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

CHICAGO, IL

Past

June 20, 2005 - July 6, 2005

BANC ONE SECURITIES CORPORATION

CRD#: 16999

CHICAGO, IL

Past

August 27, 2003 - June 20, 2005

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

RADNOR, PA

Past

January 31, 1996 - January 21, 2003

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

September 14, 1990 - January 15, 1992

BGC FINANCIAL, L.P.

CRD#: 19801

NEW YORK, NY

Past

February 8, 1990 - July 2, 1990

CONTINENTAL GLOBAL FINANCIAL CORPORATION

CRD#: 23959

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".

JOHN MOORE & ASSOCIATES INC

CRD#: 109791 / SEC#: 801-55123

RIA

Registered Investment Advisory firm - (1/9/1998 Approved)

Ohio

Registered Investment Advisory firm - (1/8/2021 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.

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

Arizona
(3/14/2025)

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

IAR

Series 65

Date: 11/14/2024

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 7/3/2008

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/22/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/17/1996

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 2/5/1998

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

Current Firm

JOHN MOORE & ASSOCIATES INC

CRD#: 109791 / SEC#: 801-55123

RIA

Registered Investment Advisory firm - (1/9/1998 Approved)

Ohio

Registered Investment Advisory firm - (1/8/2021 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

8220 San Pedro Dr Ne Suite 310, Albuquerque, NM 87113

Mailing Address

Phone number

(505) 881-5100

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

JMA ADV PART 2A 3/31/2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	2,723
AUM (Assets Under Management)	$ 970,185,554

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.

Similar Advisors

Joseph Di Vito

RBC CAPITAL MARKETS, LLC

IAR

Scottsdale, AZ

Luke Kacer

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Tucson, AZ

Timothy Hughes

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Scottsdale, AZ

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Greg A. Hartenbower

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Greg Alan Hartenbower's CRS (Customer Relationship Summary).

Certified licenses

Experience

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

USAA FINANCIAL PLANNING SERVICES

USAA FINANCIAL ADVISORS, INC.

CHARLES SCHWAB & CO., INC.

CHASE INVESTMENT SERVICES CORP.

BANC ONE SECURITIES CORPORATION

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CHARLES SCHWAB & CO., INC.

BGC FINANCIAL, L.P.

CONTINENTAL GLOBAL FINANCIAL CORPORATION

Primary Firm SEC Registration

JOHN MOORE & ASSOCIATES INC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/14/2024

Series 66

Date: 7/3/2008

Series 63

Date: 1/22/1996

SIE

Date: 10/1/2018

Series 7

Date: 1/17/1996

Series 8

Date: 2/5/1998

Current Firm

JOHN MOORE & ASSOCIATES INC

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

JOHN MOORE & ASSOCIATES INC

TRUST BUT VERIFY

Similar Advisors