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JM

Jonathan K. Moore

VANGUARD MARKETING
SCOTTSDALE, AZ 85260
Some features on this profile are disabled
CRD#: 2312492
JM

Professional summary

Jonathan Kiel Moore, who also goes by Jon Moore, Jonathan K Moore, Jonathan Moore, is a registered financial professional currently at VANGUARD MARKETING CORPORATION located in Scottsdale, Arizona.

Jonathan is registered as a RR (Registered Representative) and started their career in finance in 1993. Jonathan has worked at 5 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 55, Series 7, Series 27, Series 9, Series 10, Series 24 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jon Moore | Jonathan K Moore | Jonathan 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jonathan Kiel Moore'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 18, 2026 - Present

VANGUARD MARKETING CORPORATION

Office #1: 14321 N Northsight Blvd, Scottsdale, AZ 85260
BD
CRD#: 7452
SCOTTSDALE, AZ
Past

February 1, 2024 - March 16, 2026

ETC BROKERAGE SERVICES, LLC

BD
CRD#: 145276
Paradise Valley, AZ
Past

May 21, 2021 - December 20, 2023

TD AMERITRADE, INC.

BD
CRD#: 7870
OMAHA, NE
Past

July 1, 1993 - January 8, 2024

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
Phoenix, AZ
Past

February 8, 1993 - March 12, 1993

AMERINATIONAL FINANCIAL SERVICES, INC.

BD
CRD#: 27986

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(4/8/2026)
RR
Alaska
(4/8/2026)
RR
Arizona
(3/24/2026)
RR
Arkansas
(4/8/2026)
RR
California
(4/8/2026)
RR
Colorado
(4/8/2026)
RR
Connecticut
(4/8/2026)
RR
Delaware
(4/8/2026)
RR
District of Columbia
(4/8/2026)
RR
Florida
(4/8/2026)
RR
Georgia
(4/8/2026)
RR
Hawaii
(4/8/2026)
RR
Idaho
(4/8/2026)
RR
Illinois
(4/8/2026)
RR
Indiana
(4/8/2026)
RR
Iowa
(4/8/2026)
RR
Kansas
(4/8/2026)
RR
Kentucky
(4/8/2026)
RR
Louisiana
(4/8/2026)
RR
Maine
(4/8/2026)
RR
Maryland
(4/8/2026)
RR
Massachusetts
(4/8/2026)
RR
Michigan
(4/8/2026)
RR
Minnesota
(4/8/2026)
RR
Mississippi
(4/8/2026)
RR
Missouri
(4/8/2026)
RR
Montana
(4/8/2026)
RR
Nebraska
(4/8/2026)
RR
Nevada
(4/8/2026)
RR
New Hampshire
(4/8/2026)
RR
New Jersey
(4/8/2026)
RR
New Mexico
(4/8/2026)
RR
New York
(4/8/2026)
RR
North Carolina
(4/8/2026)
RR
North Dakota
(4/8/2026)
RR
Ohio
(4/8/2026)
RR
Oklahoma
(4/8/2026)
RR
Oregon
(4/8/2026)
RR
Pennsylvania
(4/8/2026)
RR
Puerto Rico
(4/8/2026)
RR
Rhode Island
(4/8/2026)
RR
South Carolina
(4/8/2026)
RR
South Dakota
(4/8/2026)
RR
Tennessee
(4/8/2026)
RR
Texas
(4/8/2026)
RR
Utah
(4/8/2026)
RR
Vermont
(4/8/2026)
RR
Virgin Islands
(4/8/2026)
RR
Virginia
(4/8/2026)
RR
Washington
(4/8/2026)
RR
West Virginia
(4/8/2026)
RR
Wisconsin
(4/8/2026)
RR
Wyoming
(4/8/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 1/18/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 10/26/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 1/11/1993
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 11/30/2024
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 9
Date: 1/2/2023
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/2/2023
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/16/2006
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 8
Date: 1/3/1996
General Securities Sales Supervisor Examination (Options Module & General Module)
SRO Registrations
RR
FINRA

Current Firm

VM
VANGUARD MARKETING CORPORATION
VANGUARD BROKERAGE SERVICES | VANGUARD MARKETING CORPORATION

CRD#: 7452 / SEC#: , 8-21570

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
100 Vanguard Blvd, Malvern, PA 19355
Mailing Address
5951 Luckett Court Suite A1, El Paso, TX 79932-1882
Phone number
(610) 669-1000
Established
Pennsylvania since 04/21/1977
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
THE VANGUARD GROUP, INC.PARENT COMPANY
BENDL, JOHN WESLEYDIRECTOR, SENIOR VICE PRESIDENT6931980
BISORDI, JOHNDIRECTOR, VICE PRESIDENT, GENERAL COUNSEL7526828
BOATENG, AMMA ACHEAMPOMAADIRECTOR, SENIOR VICE PRESIDENT4677078
BRANCATO, MATTHEW CLARKDIRECTOR, VICE PRESIDENT6220380
JAMES, JOHN MARKDIRECTOR, SENIOR VICE PRESIDENT5594356
KADJESKI, ANDREW MICHAELCHAIRMAN, PRESIDENT, DIRECTOR, CEO4708335
PANTALONE, SALVATORE L JRPRINCIPAL FINANCIAL OFFICER2887373
PETTY, DAVIDVICE PRESIDENT5684895
STEWART, MARC CHRISTOPHERCHIEF COMPLIANCE OFFICER2688699
TRETTER, MATTHEW ANTHONYPRINCIPAL OPERATIONS OFFICER5956530

Disclosures

Regulatory Event47
Arbitration8

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

VANGUARD MARKETING CORPORATION

CRD#: 7452Scottsdale, AZ 85260

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