Gregory F. Moore

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CRD#: 2066174

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.

Gregory Francis Moore was a registered financial professional .

Gregory is a previously registered financial professional and started their career in finance in 1990. Gregory had worked at 2 firms and has passed the Series 63 exam.

Question & Answer

Are you a "fiduciary"?

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 11, 1992 - October 2, 2013

SEARLE & CO.

CRD#: 13035

YARDLEY, PA

Past

August 21, 1990 - January 2, 1992

CLARKE & CO.

CRD#: 25977

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".

SEARLE & CO.

CRD#: 13035 / SEC#: 801-68574, 8-28600

RIA

Registered Investment Advisory firm - SEC (11/30/2007 Approved)

Connecticut

Registered Investment Advisory firm - SEC (12/5/2007 Terminated)

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

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.

Visual representation of state registrations

This advisor is not registered in any state.

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: 12/19/1990

Uniform Securities Agent State Law Examination

Current Firm

SEARLE & CO.

CRD#: 13035 / SEC#: 801-68574, 8-28600

RIA

Registered Investment Advisory firm - SEC (11/30/2007 Approved)

Connecticut

Registered Investment Advisory firm - SEC (12/5/2007 Terminated)

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

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Contact information

Main Address

333 Greenwich Ave., Greenwich, CT 06830

Mailing Address

333 Greenwich Ave., Greenwich, CT 06830

Phone number

(203) 869-4800

Established

Connecticut since 11/22/1982

Firm type

Corporation

Fiscal year end

September

Firm Size

Small

# of Employees

SEC notice filing (9 States and Territories)

FINRA licenses (24 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

SEARLE & CO. FORM ADV PART 2A: DISCLOSURE BROCHURE (11/27/2024)

Direct owners and executive officers

Name	Position	CRD#
SEARLE, ROBERT SOUTHWORTH	PRESIDENT/CHIEF COMPLIANCE OFFICER, CFO	839312
COOK, THADDEUS SAJOUS	VICE PRESIDENT	856315
PETERS, KAREN LYNN	FIN OP	2080613

Regulatory assets under management

Total Number of Accounts	129
AUM (Assets Under Management)	$ 648,957,944

Disclosures

Regulatory Event

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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Gregory F. Moore

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SEARLE & CO.

CLARKE & CO.

Primary Firm SEC Registration

SEARLE & CO.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/19/1990

Current Firm

SEARLE & CO.

Contact information

SEC notice filing (9 States and Territories)

FINRA licenses (24 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

SEARLE & CO.

TRUST BUT VERIFY

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