Derek B. Moore

ZEGA INVESTMENTS

SCOTTSDALE, AZ

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CRD#: 2497873

Professional summary

Derek Brian Moore is a registered financial advisor currently at ZEGA INVESTMENTS, LLC located in Scottsdale, Arizona.

Derek is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Derek has worked at 11 firms and has passed the Series 65, Series 63, Series 3, Series 7 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

TRADESURFER - 7801 E. JOSHUA TREE LANE, SCOTTSDALE, AZ 85250 - INVESTMENT RELATED - STARTED 5/2012 - BUSINESS INFO: EDUCATION ON OPTIONS, TECHNICAL ANALYSES (NO TRADE RECOMMENDATIONS OR ADVICE GIVEN) - ZERO HOURS DURING TRADING DAY - ONE (1) HOUR PER MONTH.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Derek Brian 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

August 27, 2024 - Present

ZEGA INVESTMENTS, LLC

RIA

CRD#: 330428

SCOTTSDALE, AZ

Past

January 7, 2014 - December 31, 2024

ZEGA FINANCIAL, LLC

RIA

CRD#: 156803

SCOTTSDALE, AZ

Past

January 15, 2013 - December 17, 2013

REILLY FINANCIAL ADVISORS

RIA

CRD#: 110315

LA MESA, CA

Past

February 15, 2011 - May 8, 2012

TD AMERITRADE, INC.

RIA

CRD#: 7870

OMAHA, NE

Past

February 15, 2011 - May 8, 2012

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

SCOTTSDALE, AL

Past

February 7, 2011 - May 8, 2012

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

Past

April 22, 2006 - April 2, 2009

TD AMERITRADE, INC.

CRD#: 7870

SCOTTSDALE, AZ

Past

May 18, 2005 - December 14, 2005

AMERITRADE ADVISORY SERVICES LLC

RIA

CRD#: 132414

SCOTTSDALE, AZ

Past

February 18, 2005 - April 8, 2009

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

SCOTTSDALE, AZ

Past

February 2, 2004 - April 22, 2006

TD AMERITRADE CLEARING, INC.

CRD#: 5633

SCOTTSDALE, AZ

Past

March 31, 1997 - December 31, 2002

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

July 20, 1995 - April 21, 1997

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

Past

February 16, 1995 - March 23, 1995

PARAGON CAPITAL MARKETS, INC.

CRD#: 18555

EAST HANOVER, NJ

Past

September 29, 1994 - January 30, 1995

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

September 13, 1994 - September 29, 1994

CHATFIELD DEAN & CO., INC.

CRD#: 14714

GREENWOOD VILLAGE, CO

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".

ZEGA INVESTMENTS, LLC

LUCKINBILL FINANCIAL ADVISORS | ZEGA INVESTMENTS, LLC | ZEGA INVESTMENTS

CRD#: 330428 / SEC#: 801-130244

RIA

Registered Investment Advisory firm - (6/3/2024 Approved)

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.

Highlighted states indicate IAR registrations

IAR

Arizona
(9/16/2024)

IAR

Texas
(8/27/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/28/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/7/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 6/27/2011

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 9/11/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 6/10/1998

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

ZEGA INVESTMENTS, LLC

LUCKINBILL FINANCIAL ADVISORS | ZEGA INVESTMENTS, LLC | ZEGA INVESTMENTS

CRD#: 330428 / SEC#: 801-130244

RIA

Registered Investment Advisory firm - (6/3/2024 Approved)

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Contact information

Main Address

3801 Pga Boulevard Suite 600, Palm Beach Gardens, FL 33410

Mailing Address

Phone number

(800) 380-9342

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (36 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ZEGA ADV PART 2A (4/7/2025)

Regulatory assets under management

Total Number of Accounts	1,698
AUM (Assets Under Management)	$ 548,799,511

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.

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Firm Stability Insights

Derek B. Moore

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Derek Brian Moore's CRS (Customer Relationship Summary).

Certified licenses

Experience

ZEGA FINANCIAL, LLC

REILLY FINANCIAL ADVISORS

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

TD AMERITRADE, INC.

AMERITRADE ADVISORY SERVICES LLC

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE CLEARING, INC.

CHARLES SCHWAB & CO., INC.

TD AMERITRADE, INC.

PARAGON CAPITAL MARKETS, INC.

CITIGROUP GLOBAL MARKETS INC.

CHATFIELD DEAN & CO., INC.

Primary Firm SEC Registration

ZEGA INVESTMENTS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/28/2004

Series 63

Date: 7/7/1994

Series 3

Date: 6/27/2011

Series 7

Date: 9/11/1994

Series 8

Date: 6/10/1998

Current Firm

ZEGA INVESTMENTS, LLC

Contact information

SEC notice filing (36 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ZEGA INVESTMENTS, LLC

TRUST BUT VERIFY

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