Louis L. Moore
Professional summary
Louis Lee Moore, who also goes by Lou Moore, Louis L Moore, is a registered financial professional currently at INDEPENDENCE CAPITAL CO., INC. located in Westlake, Ohio.
Louis is registered as a RR (Registered Representative) and started their career in finance in 1995. Louis has worked at 9 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Louis Lee Moore's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 2, 2012 - Present
INDEPENDENCE CAPITAL CO., INC.
Office #1: 2035 Crocker Rd #103, Westlake, OH 44145October 12, 2011 - February 16, 2012
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
January 31, 2011 - August 3, 2011
TRANSAMERICA FINANCIAL ADVISORS, LLC
May 12, 2004 - January 31, 2011
CLARK SECURITIES, INC.
June 23, 2003 - April 14, 2004
VALMARK ADVISERS, INC.
September 9, 1997 - April 13, 2004
VALMARK SECURITIES, INC.
August 6, 1996 - September 15, 1997
SECURIAN FINANCIAL SERVICES, INC.
March 1, 1996 - August 5, 1996
MML INVESTORS SERVICES, LLC
March 15, 1995 - March 1, 1996
G. R. PHELPS & 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
(2/2/2012)
(9/3/2025)
(2/2/2012)
(2/2/2012)
(2/2/2012)
(2/2/2012)
Exams
FINRA
Current Firm
INDEPENDENCE CAPITAL CO., INC.
CRD#: 24723 / SEC#: , 8-41331
Contact information
FINRA licenses (38 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 295 |
| AUM (Assets Under Management) | $ 99,922,105 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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