Andrew S. 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.
Andrew Scott Moore, CFP®, who also goes by Andy Moore, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1993. Andrew had worked at 4 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 23, 2019 - June 4, 2021
INTEGRITY CAPITAL, LLC
March 26, 2001 - December 19, 2007
CITIGROUP GLOBAL MARKETS INC.
September 17, 1994 - April 5, 2001
AMERIPRISE ADVISOR SERVICES, INC.
November 15, 1993 - August 23, 1994
L.C. WEGARD & CO., INC.
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 7TO
Date: 12/1/2022
General Securities Representative ExaminationSeries 8
Date: 7/15/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
INTEGRITY CAPITAL, LLC
CRD#: 285198 / SEC#: , 8-69829
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
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.
