Mark L. 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.
Mark Lamont Moore, who also goes by Mark Moore, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1993. Mark had worked at 17 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 14, 2024 - February 24, 2025
LPL ENTERPRISE, LLC
November 14, 2024 - February 24, 2025
LPL ENTERPRISE, LLC
October 10, 2023 - November 14, 2024
PRUCO SECURITIES, LLC.
October 10, 2023 - November 14, 2024
PRUCO SECURITIES, LLC.
November 30, 2020 - December 31, 2022
A.G.P. / ALLIANCE GLOBAL PARTNERS
October 9, 2020 - December 31, 2022
A.G.P. / ALLIANCE GLOBAL PARTNERS
July 26, 2013 - October 12, 2020
GARDEN STATE INVESTMENT ADVISORY SERVICES, LLC
September 30, 2011 - October 12, 2020
GARDEN STATE SECURITIES, INC.
October 12, 2005 - October 3, 2011
VIEWTRADE SECURITIES, INC.
January 7, 2004 - December 21, 2005
VIEWTRADE FINANCIAL
November 16, 2000 - December 31, 2003
VIEWTRADE SECURITIES, INC.
March 13, 2000 - November 16, 2000
BARRON CHASE SECURITIES, INC.
May 10, 1999 - March 7, 2000
LCP CAPITAL CORP.
January 8, 1998 - April 8, 1999
HD BROUS & CO., INC.
July 21, 1997 - December 24, 1997
MORGAN GRANT CAPITAL CORP.
December 11, 1996 - July 28, 1997
INVESTORS ASSOCIATES, INC.
October 25, 1995 - January 1, 1997
H.J. MEYERS & CO., INC.
April 20, 1995 - December 13, 1995
GLOBAL EQUITIES GROUP INC
May 6, 1994 - April 19, 1995
INVESTORS ASSOCIATES, INC.
March 11, 1994 - May 19, 1994
S. D. COHN & CO., INC.
June 16, 1993 - July 8, 1993
WESTFIELD FINANCIAL CORPORATION
May 7, 1993 - September 7, 1993
AMERICAN BOND GROUP, INC.
Primary Firm SEC Registration
LPL ENTERPRISE, LLC
CRD#: 8733 / SEC#: 801-130883, 8-26037
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
Series 62
Date: 5/6/1993
Corporate Securities Limited Representative ExaminationCurrent Firm
LPL ENTERPRISE, LLC
CRD#: 8733 / SEC#: 801-130883, 8-26037
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| HORAN-ADAMS, KIRBY LEPAK | CHIEF EXECUTIVE OFFICER. PRESIDENT | 5097259 |
| MALFITANO, STEVEN THOMAS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP | 3178848 |
| MORRISON, STEVEN PHILIP | SECRETARY | 4529345 |
| SHEEHAN, RICHARD STEVEN | SVP, CHIEF COMPLIANCE OFFICER | 3096567 |
Regulatory assets under management
| Total Number of Accounts | 114,002 |
| AUM (Assets Under Management) | $ 18,862,098,900 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 |
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.
