RM
Robert D. Moore
SGL FINANCIAL
NORMAN, OK 73071
Some features on this profile are disabled
CRD#: 2094190
RM
Professional summary
Robert Duayne Moore, who also goes by Rod Moore, is a registered financial advisor currently at SGL FINANCIAL, LLC located in Norman, Oklahoma.
Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1990. Robert has worked at 11 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rod 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.
MOORE TAX AND FINANCIAL SERVICES - ENGAGED IN THE SALE OF INSURANCE PRODUCTS - LIFE, HEALTH, LONG-TERM CARE, BASIC INCOME TAX PREPARATION
CRS (Client Relationship Summary) - RIA
Click below to view Robert Duayne Moore's 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®
NoneExperience
Current
December 12, 2013 - Present
SGL FINANCIAL, LLC
Office #1: 1800 North Interstate Drive Suite 114, Norman, OK 73071RIA
CRD#: 158023
NORMAN, OK
Past
August 20, 2008 - December 10, 2008
SYNERGY INVESTMENT GROUP, LLC
BD
CRD#: 46035
NORMAN, OK
Past
January 4, 2008 - November 9, 2012
AMERICAN INVESTMENT SERVICES
RIA
CRD#: 144088
ARDMORE, OK
Past
October 4, 2007 - July 10, 2008
ENVISION INVESTMENT ADVISORS, LLC
RIA
CRD#: 143667
ARDMORE, OK
Past
April 20, 2006 - November 22, 2006
ONEAMERICA SECURITIES, INC.
BD
CRD#: 4173
ARDMORE, OK
Past
March 3, 2005 - August 30, 2005
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
March 3, 2005 - August 30, 2005
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
Past
September 22, 2003 - March 14, 2005
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
NEW YORK, NY
Past
July 19, 1999 - August 28, 2003
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEW YORK, NY
Past
July 30, 1998 - July 12, 1999
ONEAMERICA SECURITIES, INC.
BD
CRD#: 4173
INDIANAPOLIS, IN
Past
July 30, 1998 - July 12, 1999
AMERICAN UNITED LIFE INSURANCE COMPANY
BD
CRD#: 1075
INDIANAPOLIS, IN
Past
January 19, 1996 - July 16, 1998
BMA FINANCIAL SERVICES, INC.
BD
CRD#: 7943
KANSAS CITY, MO
Past
November 21, 1990 - November 28, 1995
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
November 21, 1990 - November 28, 1995
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
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".
SF
SGL FINANCIAL, LLC
ARGALLUS FINANCIAL | WITT FINANCIAL GROUP | WELL BEING FINANCIAL GROUP | WEALTH FINANCIAL GROUP WEST, INC. | WEALTH FINANCIAL GROUP | WEALTH FINANCIAL ADVISORY SERVICES, LLC | WEALTH FINANCIAL ADVISORY SERVICES LLC | WEALTH FINANCIAL ADVISORY SERVICES | TAMPA BAY ADVISORY, LLC | SUMMIT FINANCIAL GROUP OF TN | STANDARD CAPITAL FINANCIAL | SLOANE FINANCIAL SERVICES | SGL FINANCIAL, LLC | SCOTT TUCKER SOLUTIONS | SAFE MONEY RETIREMENT STRATEGIES | ROGERS TAX ADVISORY | PHELAN FINANCIAL SOLUTIONS | NORTHLAND FINANCIAL | MOORE FINANCIAL CONCEPTS | MC2 WEALTH MANAGEMENT | MAINSAIL WEALTH MANAGEMENT | JC FINANCIAL EDUCATORS | JARVIS LAW FIRM | INTELLECTUAL BUSINESS SOLUTIONS | GEURIN WEALTH MANAGEMENT | FLIESS FINANCIAL SERVICES, LLC | FIRST STATE FINANCIAL PLANNERS | FINANCIAL RESOURCES GROUP | FELTS FINANCIAL SERVICES | ESTATE AND WEALTH MANAGEMENT | DUELL WEALTH MANAGEMENT | DR. HAROLD WONG & ASSOCIATES | DIVECHA FINANCIAL, LLC | DEDICATED SENIOR ADVISORS | DEDICATED FINANCIAL SERVICES, LLC | CREW AND LLOYD | COWEN TAX ADVISORY GROUP | CHROBAK ADVISORY GROUP | BROWN FINANCIAL GROUP | BOWERS AND ASSOCIATES, LLC | BLUE AND GRAY FINANCIAL | BETTER LIFE FINANCIAL, LLC | AUSTIN FIRST FINANCIAL
CRD#: 158023 / SEC#: 801-96223
RIA
Registered Investment Advisory firm - (5/29/2015 Approved)Arizona
Registered Investment Advisory firm - (5/29/2015 Terminated)Arkansas
Registered Investment Advisory firm - (5/29/2015 Terminated)California
Registered Investment Advisory firm - (6/28/2015 Terminated)Colorado
Registered Investment Advisory firm - (6/19/2015 Terminated)Connecticut
Registered Investment Advisory firm - (6/1/2015 Terminated)Florida
Registered Investment Advisory firm - (5/29/2015 Terminated)Illinois
Registered Investment Advisory firm - (5/29/2015 Terminated)Iowa
Registered Investment Advisory firm - (6/30/2015 Terminated)Mississippi
Registered Investment Advisory firm - (5/29/2015 Terminated)New Jersey
Registered Investment Advisory firm - (6/16/2015 Terminated)Oklahoma
Registered Investment Advisory firm - (5/29/2015 Terminated)Pennsylvania
Registered Investment Advisory firm - (6/1/2015 Terminated)South Dakota
Registered Investment Advisory firm - (5/29/2015 Terminated)Texas
Registered Investment Advisory firm - (5/29/2015 Terminated)Wisconsin
Registered Investment Advisory firm - (5/29/2015 Terminated)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
Oklahoma(12/12/2013)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
SF
SGL FINANCIAL, LLC
ARGALLUS FINANCIAL | WITT FINANCIAL GROUP | WELL BEING FINANCIAL GROUP | WEALTH FINANCIAL GROUP WEST, INC. | WEALTH FINANCIAL GROUP | WEALTH FINANCIAL ADVISORY SERVICES, LLC | WEALTH FINANCIAL ADVISORY SERVICES LLC | WEALTH FINANCIAL ADVISORY SERVICES | TAMPA BAY ADVISORY, LLC | SUMMIT FINANCIAL GROUP OF TN | STANDARD CAPITAL FINANCIAL | SLOANE FINANCIAL SERVICES | SGL FINANCIAL, LLC | SCOTT TUCKER SOLUTIONS | SAFE MONEY RETIREMENT STRATEGIES | ROGERS TAX ADVISORY | PHELAN FINANCIAL SOLUTIONS | NORTHLAND FINANCIAL | MOORE FINANCIAL CONCEPTS | MC2 WEALTH MANAGEMENT | MAINSAIL WEALTH MANAGEMENT | JC FINANCIAL EDUCATORS | JARVIS LAW FIRM | INTELLECTUAL BUSINESS SOLUTIONS | GEURIN WEALTH MANAGEMENT | FLIESS FINANCIAL SERVICES, LLC | FIRST STATE FINANCIAL PLANNERS | FINANCIAL RESOURCES GROUP | FELTS FINANCIAL SERVICES | ESTATE AND WEALTH MANAGEMENT | DUELL WEALTH MANAGEMENT | DR. HAROLD WONG & ASSOCIATES | DIVECHA FINANCIAL, LLC | DEDICATED SENIOR ADVISORS | DEDICATED FINANCIAL SERVICES, LLC | CREW AND LLOYD | COWEN TAX ADVISORY GROUP | CHROBAK ADVISORY GROUP | BROWN FINANCIAL GROUP | BOWERS AND ASSOCIATES, LLC | BLUE AND GRAY FINANCIAL | BETTER LIFE FINANCIAL, LLC | AUSTIN FIRST FINANCIAL
CRD#: 158023 / SEC#: 801-96223
RIA
Registered Investment Advisory firm - (5/29/2015 Approved)Arizona
Registered Investment Advisory firm - (5/29/2015 Terminated)Arkansas
Registered Investment Advisory firm - (5/29/2015 Terminated)California
Registered Investment Advisory firm - (6/28/2015 Terminated)Colorado
Registered Investment Advisory firm - (6/19/2015 Terminated)Connecticut
Registered Investment Advisory firm - (6/1/2015 Terminated)Florida
Registered Investment Advisory firm - (5/29/2015 Terminated)Illinois
Registered Investment Advisory firm - (5/29/2015 Terminated)Iowa
Registered Investment Advisory firm - (6/30/2015 Terminated)Mississippi
Registered Investment Advisory firm - (5/29/2015 Terminated)New Jersey
Registered Investment Advisory firm - (6/16/2015 Terminated)Oklahoma
Registered Investment Advisory firm - (5/29/2015 Terminated)Pennsylvania
Registered Investment Advisory firm - (6/1/2015 Terminated)South Dakota
Registered Investment Advisory firm - (5/29/2015 Terminated)Texas
Registered Investment Advisory firm - (5/29/2015 Terminated)Wisconsin
Registered Investment Advisory firm - (5/29/2015 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1130 W Lake Cook Road Suite 150, Buffalo Grove, IL 60089
Mailing Address
Phone number
(888) 245-2388
Established
Firm type
Fiscal year end
# of Employees
31
SEC notice filing (14 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,251 |
| AUM (Assets Under Management) | $ 218,580,905 |
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.
Company Information
SGL FINANCIAL, LLC
CRD#: 158023Norman, OK 73071TRUST BUT VERIFY
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