Gregory A. 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.
Gregory Alfred Moore, who also goes by Greg Moore, was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 1993. Gregory had worked at 10 firms and has passed the Series 66, Series 65, Series 63, Series 34, SIE, Series 31, Series 3, Series 7, Series 30, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 3, 2017 - May 17, 2019
TRANSAMERICA FINANCIAL ADVISORS, LLC
June 25, 2015 - December 16, 2016
VISION INVESTMENT ADVISORS, LLC
August 30, 2014 - December 31, 2014
TRANSAMERICA FINANCIAL ADVISORS, LLC
August 28, 2014 - December 31, 2014
TRANSAMERICA FINANCIAL ADVISORS, LLC
December 6, 2011 - December 31, 2012
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
November 22, 2011 - December 31, 2012
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
August 29, 2011 - January 19, 2012
COASTAL TRADE SECURITIES, LLC
January 4, 2010 - April 9, 2010
MORGAN STANLEY
June 1, 2009 - April 9, 2010
MORGAN STANLEY
December 19, 2005 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
February 15, 2001 - March 28, 2006
CITIGROUP GENEVA CAPITAL STRATEGIES INC.
September 27, 1999 - March 13, 2001
QUEST CAPITAL STRATEGIES, INC.
January 21, 1999 - March 30, 1999
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 10, 1993 - December 12, 1996
INTERFIRST CAPITAL CORPORATION
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.
