JM
John A. Moore
BREAN CAPITAL
Dallas, TX 75254
Some features on this profile are disabled
CRD#: 2592366
JM
Professional summary
John Alexander Moore is a registered financial professional currently at BREAN CAPITAL, LLC located in Dallas, Texas.
John is registered as a RR (Registered Representative) and started their career in finance in 1995. John has worked at 3 firms and has passed the Series 63, Series 99TO, Series 79TO, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view John Alexander 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
March 1, 2016 - Present
BREAN CAPITAL, LLC
Office #1: 14800 Landmark Boulevard Suite 400, Dallas, TX 75254BD
CRD#: 23723
Dallas, TX
Past
February 19, 2003 - December 18, 2015
FIXED INCOME CAPITAL PARTNERS, LLC
BD
CRD#: 123001
WHEATON, IL
Past
July 9, 1995 - June 24, 2002
PERFORMANCE TRUST CAPITAL PARTNERS, LLC
BD
CRD#: 36155
CHICAGO, IL
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(7/12/2019)
RR
Alaska(7/12/2019)
RR
Arizona(3/1/2016)
RR
Arkansas(7/12/2019)
RR
California(3/1/2016)
RR
Colorado(3/1/2016)
RR
Connecticut(7/12/2019)
RR
Delaware(7/12/2019)
RR
District of Columbia(7/12/2019)
RR
Florida(3/1/2016)
RR
Georgia(3/1/2016)
RR
Hawaii(7/12/2019)
RR
Idaho(7/12/2019)
RR
Illinois(3/1/2016)
RR
Indiana(3/1/2016)
RR
Iowa(7/12/2019)
RR
Kansas(3/1/2016)
RR
Kentucky(7/12/2019)
RR
Louisiana(7/12/2019)
RR
Maine(7/12/2019)
RR
Maryland(3/1/2016)
RR
Massachusetts(3/1/2016)
RR
Michigan(3/1/2016)
RR
Minnesota(7/12/2019)
RR
Mississippi(7/12/2019)
RR
Missouri(3/1/2016)
RR
Montana(3/1/2016)
RR
Nebraska(7/12/2019)
RR
Nevada(3/1/2016)
RR
New Hampshire(7/12/2019)
RR
New Jersey(3/1/2016)
RR
New Mexico(7/12/2019)
RR
New York(3/1/2016)
RR
North Carolina(3/1/2016)
RR
North Dakota(7/12/2019)
RR
Ohio(3/1/2016)
RR
Oklahoma(7/12/2019)
RR
Oregon(3/1/2016)
RR
Pennsylvania(3/1/2016)
RR
Puerto Rico(7/12/2019)
RR
Rhode Island(7/12/2019)
RR
South Carolina(3/1/2016)
RR
South Dakota(3/1/2016)
RR
Tennessee(3/1/2016)
RR
Texas(3/1/2016)
RR
Utah(7/12/2019)
RR
Vermont(7/12/2019)
RR
Virginia(7/12/2019)
RR
Washington(3/1/2016)
RR
West Virginia(3/1/2016)
RR
Wisconsin(3/1/2016)
RR
Wyoming(3/1/2016)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
BC
BREAN CAPITAL, LLC
BREAN CAPITAL, LLC | NATIONAL LIQUIDATORS, INC | CARRET SECURITIES, LLC | CARRET SECURITIES, INC. | BREAN MURRAY, CARRET & CO., LLC.
CRD#: 23723 / SEC#: , 8-40742
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
505 Fifth Avenue 5th Floor, New York, NY 10017
Mailing Address
505 Fifth Avenue 5th Floor, New York, NY 10017
Phone number
(212) 702-6500
Established
Delaware since 02/03/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BMUR HOLDINGS, LLC | HOLDING COMPANY | |
| HUNT FS HOLDINGS III, LLC | HOLDING COMPANY | |
| ALLURED LLC | HOLDING COMPANY | |
| LIZINATOR LLC | HOLDING COMPANY | |
| BREAN CAPITAL HOLDINGS, LLC | HOLDING COMPANY | |
| CORWEN, STEPHEN MILLER | HEAD OF MBS/ABS SALES | 2943061 |
| FINE, ROBERT MICHAEL | CHIEF EXECUTIVE OFFICER | 1450313 |
| GUZMAN, JEFFREY M | CHIEF COMPLIANCE OFFICER | 3095123 |
| LAMARSH, JONATHAN ANDREW | PRINCIPAL OPERATIONS OFFICER | 5436335 |
| MACKLIN, JOHN TIMOTHY | PRINCIPAL OPERATIONS OFFICER | 1446800 |
| SARABELLA, ARNOLD | CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | 1717059 |
| TIRSCHWELL, ROBERT MOYSE | EXECUTIVE MANAGING DIRECTOR | 2230453 |
Disclosures
| Regulatory Event | 12 |
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
BREAN CAPITAL, LLC
CRD#: 23723Dallas, TX 75254TRUST BUT VERIFY
Monitor John Moore
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
