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William Elmer Moore

CRD# 2759755·Registered 1996 - 2011
Previously Registered: Being a previously registered professional could mean that William 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.

Professional Summary

William Elmer Moore, who also goes by Bill Moore, was a registered financial advisor. William was a previously registered financial advisor and started their career in finance 1996 - 2011. William had worked at 5 firms and has passed the Series 65, Series 63, Series 31, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Bill Moore

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

30 years in the financial services industry

Current & Past Employments

GRAND FINANCIAL, INC.·CRD# 19571
BD
Addison, TX
May 20, 2011 - November 21, 2011
GRAND FINANCIAL, INC.·CRD# 19571
BD
Addison, TX
September 4, 2009 - October 1, 2009
GRAND FINANCIAL, INC.·CRD# 19571
BD
Addison, TX
May 18, 2004 - September 1, 2009
HIGH MARK SECURITIES, INC.·CRD# 42467
BD
Lakeland, FL
March 27, 2003 - May 11, 2004
DIESEL ENERGY INTERNATIONAL, L.L.C.·CRD# 104484
BD
Dallas, TX
July 2, 2002 - March 24, 2003
CETERA WEALTH SERVICES, LLC·CRD# 13572
RIA
Dallas, TX
June 24, 1998 - August 1, 2002
CETERA WEALTH SERVICES, LLC·CRD# 13572
BD
El Segundo, CA
June 22, 1998 - August 1, 2002
MORGAN STANLEY DW INC.·CRD# 7556
BD
Purchase, NY
July 31, 1996 - April 15, 1998

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Current Firm

GF
GRAND FINANCIAL, INC.

GRAND ENERGY, INC. | GRAND FINANCIAL, INC.

CRD#: 19571 / SEC#: 8-37928
BD
Terminated by SEC on 05/29/2020

Contact Information

Established

Texas since 04/16/1987

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
HARRIS, JAMES LEROY JRCHIEF EXECUTIVE OFFICER1654355
HARRIS, JAMES LEROY JRPRINCIPAL OPERATIONS OFFICER1654355
HARRIS, BRANDON JAMESPRINCIPAL FINANCIAL OFFICER5246210
HARRIS, BRANDON JAMESCHIEF COMPLIANCE OFFICER5246210

Disclosures

Regulatory Event

1

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Aug 1996About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Aug 1996About the Series 63 exam

Series 31 — Futures Managed Funds Examination

Passed Aug 1996About the Series 31 exam

Series 7 — General Securities Representative Examination

Passed Jul 1996About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Nov 2002About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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