MM
Myrthia N. Moore
PRINCIPAL SECURITIES
Coral Gables, FL
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CRD#: 2334520
MM
Professional summary
Myrthia Natalie Moore, who also goes by Myrtha N Moore, Myrthia Moore Svaldi, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Coral Gables, Florida.
Myrthia is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Myrthia has worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Myrtha N Moore | Myrthia Moore Svaldi
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.
**MYRTHIA MOORE, PSYCHOLOGIST. 04/13/2011. INDIVIDUAL THERAPY FOR SOME PRIVATE PATIENTS.**OUTSIDE INSURANCE, BROKER, LIFE,DI, FIXED ANNUITIES, LTC, 4/15/14. ***MNM PUBLISHING, CORPORATION SET UP TO PUBLISH BOOKS ABOUT DATING, 05/13/15. **MNM Publishing, Seminars & Webinars related to book written by RR, 5/3/16. ***Jewelry Making; Not Investment Related; Coral Gables FL; NA; selling pieces of made jewelry at an annual trunk show; Start Date: 12/09/2019; 5 hrs per month; 0 during trading hours. ***Manolis and Company Asia LLC; Not Investment Related; Coral Gables, FL; Co-Owner; For estate purposes included as Joint Tenant in Entirety with husband. LLC is entity able to hold properties in Vietnam. No responsibilities, no investment accounts, check writing ability.; Start Date: 10/01/2019; 0 hrs per month; 0 during trading hours. ***J Steven Manolis Art LLC; Not Investment Related; Coral Gables, FL; Co-Owner; For estate purposes included as Joint Tenant in Entirety with husband. No responsibilities, no investment accounts, check writing capability.; Start Date: 10/01/2019; na hrs per month; na during trading hours. ***JSNMKM1, LLC; Not Investment Related; Coral Gables, FL; Co-Owner; For estate purposes included as Joint Tenant in Entirety with husband. No responsibilities, no investment accounts, check writing ability. LLC is for a building development in Miami called One River point. Other owner are not Principal clients.; Start Date: 10/01/2019; na hrs per month; na during trading hours. ***Manolis Projects LLC; Not Investment Related; Coral Gables, FL; Co-Owner; For estate purposes included as Joint Tenant in Entirety with husband. No responsibilities, no investment accounts, check writing ability. Gallery where husband sells art of his own and others; Start Date: 10/01/2019; 0 hrs per month; 0 during trading hours. ***Manolis and Company LLC; Not Investment Related; Coral Gables, FL; Co-Owner; For estate purposes included as Joint Tenant in Entirety with husband. No responsibilities, no investment accounts, check writing ability. Owned with spouse real estate development company.; Start Date: 10/01/2019; hrs per month; during trading hours. ***4901 Investments LLC; Not Investment Related; Coral Gables, FL; Co-Owner; For estate purposes included as Joint Tenant in Entirety with husband. No responsibilities, no investment accounts, check writing ability. LLC owns an apartment that is currently for sale; Start Date: 10/01/2019; 0 hrs per month; 0 during trading hours. ***63 LTT LP; Not Investment Related; Coral Gables FL; Co-Owner; For estate purposes included as Joint Tenant in Entirety with husband. No responsibilities, no investment accounts, check writing ability. LLC owns and office building in Vietnam; Start Date: 10/01/2019; 0 hrs per month; 0 during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Myrthia Natalie Moore's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Myrthia Natalie 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
September 28, 2004 - Present
PRINCIPAL SECURITIES, INC.
Office #2: 703 Waterford Way Ste 190, Miami, FL 33126RIA
BD
CRD#: 1137
Coral Gables, FL
Current
October 12, 1998 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 703 Waterford Way Ste 190, Miami, FL 33126RIA
BD
CRD#: 1137
Miami, FL
Past
April 7, 1993 - November 3, 1998
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
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".
PRINCIPAL SECURITIES, INC.
BLC EQUITY SERVICES CORPORATION | PRINCOR FINANCIAL/ SERVICES CORPORATION | PRINCOR FINANCIAL SERVICES CORPORATION | PRINCIPAL SECURITIES, INC. | PRINCIPAL FINANCIAL SERVICES CORPORATION
CRD#: 1137 / SEC#: 801-54949, 8-13975
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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.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
California(4/24/2003)
RR
Florida(10/19/1998)
IAR
Florida(9/28/2004)
RR
Maryland(3/31/2023)
RR
New York(7/1/1999)
RR
Pennsylvania(5/13/2019)
RR
Texas(10/28/2015)
IAR
Texas(6/18/2021)
RR
Virginia(7/23/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PRINCIPAL SECURITIES, INC.
BLC EQUITY SERVICES CORPORATION | PRINCOR FINANCIAL/ SERVICES CORPORATION | PRINCOR FINANCIAL SERVICES CORPORATION | PRINCIPAL SECURITIES, INC. | PRINCIPAL FINANCIAL SERVICES CORPORATION
CRD#: 1137 / SEC#: 801-54949, 8-13975
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
711 High Street, Des Moines, IA 50392
Mailing Address
Principal Financial Group 711 High Street, Des Moines, IA 50392-2080
Phone number
(888) 774-6267
Established
Iowa since 05/01/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
1,436
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRINCIPAL FINANCIAL SERVICES, INC. | OWNER | |
| AGRAWAL, VIVEK | DIRECTOR | 8050381 |
| CLAIRE, CHAD THOMAS | CHIEF INFORMATION OFFICER | 7219218 |
| DROGAN, THOMAS JOHN | CHIEF COMPLIANCE OFFICER | 2760482 |
| FRIEDRICH, AMY CHRISTINE | DIRECTOR | 7097797 |
| LAWLER, CODY ANTHONY | HEAD OF SUPERVISION, HEAD OF OPERATIONS | 5162072 |
| MCCULLUM, KENNETH ALLEN | DIRECTOR | 4695257 |
| MURRAY, MICHAEL FRANCIS | PRESIDENT/CHIEF EXECUTIVE OFFICER/CHAIR | 2074275 |
| RANTS, DOUGLAS JOHN | CHIEF INFORMATION SECURITY OFFICER | 7148529 |
| ROBERTS, DAWN MARIE | CHIEF FINANCIAL OFFICER | 7929617 |
| SCHELHAAS, NATHAN PAUL | DIRECTOR | 7275495 |
| SPADAFORA, CRAIG ALAN | SENIOR VICE PRESIDENT / HEAD OF ADVISORY AND PLATFORM | 3184320 |
| VANWINKLE, DANIEL SIMON | PSI AML OFFICER | 4715191 |
Regulatory assets under management
| Total Number of Accounts | 63,730 |
| AUM (Assets Under Management) | $ 14,827,718,110 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 09/22/2023 | ||
| 12/20/2022 |
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.
