CM
Charles N. Moore
LIBERTY WEALTH MANAGEMENT
San Francisco, CA 94407
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CRD#: 2826662
CM
Professional summary
Charles Nicholas Moore, who also goes by Nick Moore, is a registered financial advisor currently at LIBERTY WEALTH MANAGEMENT, LLC located in San Francisco, California.
Charles is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Charles has worked at 6 firms and has passed the Series 65, Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nick Moore
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.
Name of outside business or organization: Moore Financial Advice Address: 586-B Wisconsin Street, San Francisco, CA 94107 Title: Owner Description of outside business or organization: Investment-related financial firm. Description of duties or responsibilities: Financial sales and services. Start date: 08/2009 Hours devoted to OBA monthly: 144 during trading hrs. / 0 during non-trading hrs. Insurance Agent - C. Nicholas Moore has been licensed in California as an insurance producer/agent since 09/27/2001 (CA Insurance License #0C10617), soliciting, offering, and selling accident and health, life, and variable insurance products with Lifetime Marketing & Planning, Inc. (#0F17020). He will receive separate, yet customary, commission compensation resulting from the purchase and sales of these products from the firm he is appointed and with whom he may become appointed in the future. He will also receive other compensation, including bonuses and trail commissions from the products. Mr. Moore spends 10 hours a month on this activity during trading hours. Clients are in no way required to utilize any Advisor Representative of Liberty Wealth Management regarding such individual's activities outside of the firm.
CRS (Client Relationship Summary) - RIA
Click below to view Charles Nicholas 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
May 17, 2018 - Present
LIBERTY WEALTH MANAGEMENT, LLC
Office #1: 586b Wisconsin Street, San Francisco, CA 94407RIA
CRD#: 286001
San Francisco, CA
Past
August 6, 2020 - December 10, 2021
AE FINANCIAL SERVICES, LLC
BD
CRD#: 298608
San Francisco, CA
Past
August 5, 2009 - October 10, 2018
LIBERTY GROUP, LLC
RIA
CRD#: 106036
SAN FRANCISCO, CA
Past
August 4, 2009 - September 9, 2020
LIBERTY GROUP, LLC
BD
CRD#: 106036
SAN FRANCISCO, CA
Past
July 23, 2001 - July 30, 2009
CUNA BROKERAGE SERVICES, INC.
RIA
CRD#: 13941
SAN FRANCISCO, CA
Past
June 15, 2001 - July 30, 2009
CUNA BROKERAGE SERVICES, INC.
BD
CRD#: 13941
SAN FRANCISCO, CA
Past
June 27, 1997 - December 2, 1999
WELLS FARGO SECURITIES INC.
BD
CRD#: 17438
SAN FRANCISCO, CA
Past
January 1, 1997 - June 10, 1997
INTERFIRST CAPITAL CORPORATION
BD
CRD#: 7659
LOS ANGELES, CA
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".
LW
LIBERTY WEALTH MANAGEMENT, LLC
GELORMINI FINANCIAL | VITA COMPANIES | MOORE FINANCIAL ADVICE | LIBERTY WEALTH MANAGEMENT, LLC | LIBERTY GROUP, LLC | LIBERTY GROUP | KILBY WEALTH STRATEGIES | GRANITE BAY ASSETS
CRD#: 286001 / SEC#: 801-112351
RIA
Registered Investment Advisory firm - (1/19/2018 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
California(5/17/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Current Firm
LW
LIBERTY WEALTH MANAGEMENT, LLC
GELORMINI FINANCIAL | VITA COMPANIES | MOORE FINANCIAL ADVICE | LIBERTY WEALTH MANAGEMENT, LLC | LIBERTY GROUP, LLC | LIBERTY GROUP | KILBY WEALTH STRATEGIES | GRANITE BAY ASSETS
CRD#: 286001 / SEC#: 801-112351
RIA
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Contact information
Main Address
411 30th Street 2nd Floor, Oakland, CA 94609
Mailing Address
Phone number
(510) 658-1880
Established
Firm type
Fiscal year end
# of Employees
21
SEC notice filing (19 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,896 |
| AUM (Assets Under Management) | $ 1,469,902,558 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
