TM
Thomas S. Moore
VALMARK ADVISERS
Fort Mitchell, KY 41017
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CRD#: 3087519
TM
Professional summary
Thomas Shelley Moore JR, who also goes by Thomas Shelley Moore, Tom Moore, is a registered financial advisor currently at VALMARK ADVISERS, INC. located in Fort Mitchell, Kentucky and VALMARK SECURITIES, INC. located in Fort Mitchell, Kentucky.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Thomas has worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Thomas Shelley Moore | Tom 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.
1.) Broadview Holdings, Inc.; INVESTMENT ADVICE, INSURANCE SALES, PLANNING; INVESTMENT RELATED/// 2.) Broadview Financial Advisors, LLC; 250 Grandview Dr., Ft. Mitchell, KY 41017; President/Adviser; Preside over Shareholder meetings , agendas and business plans; YES Investment Related; Start Date 2013; 35% Owner; Approximately 21-40 hrs. per month; W-2 Salary and Bonuses./// 3.) McCormick Equipment Co., Inc.; Warehouse Equipment Sales, Service and Installation.; start 2022; Loveland, Ohio; Advisory Board Member; Periodic meetings with owners and executives regarding high level business issues and plans; 1-5 hours/ month; not investment related; compensation is amount is determined by the president.///
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Shelley Moore JR'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 20, 2014 - Present
VALMARK ADVISERS, INC.
Office #1: 250 Grandview Drive, Suite 475, Fort Mitchell, KY 41017RIA
CRD#: 108050
Fort Mitchell, KY
Current
January 27, 2014 - Present
VALMARK SECURITIES, INC.
Office #1: 250 Grandview Drive, Ste. 475, Fort Mitchell, KY 41017BD
CRD#: 31243
Fort Mitchell, KY
Past
May 1, 2015 - November 14, 2018
BROADVIEW FINANCIAL ADVISORS, LLC
RIA
CRD#: 173828
CINCINNATI, OH
Past
July 31, 1998 - June 4, 1999
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
DALLAS, TX
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".
VA
VALMARK ADVISERS, INC.
VALMARK ADVISERS INC | VALMARK ADVISERS, INC.
CRD#: 108050 / SEC#: 801-55564
RIA
Registered Investment Advisory firm - (5/29/1998 Approved)Wyoming
Registered Investment Advisory firm - (8/11/2017 Terminated)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.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
Florida(11/30/2018)
IAR
Florida(12/4/2018)
IAR
Illinois(12/18/2023)
RR
Indiana(3/6/2014)
IAR
Indiana(3/20/2014)
RR
Kentucky(3/4/2014)
IAR
Kentucky(3/20/2014)
IAR
Louisiana(11/17/2020)
IAR
Michigan(1/6/2020)
IAR
Missouri(1/2/2020)
IAR
Montana(8/28/2018)
IAR
Nevada(4/29/2022)
IAR
North Carolina(7/23/2020)
RR
Ohio(3/6/2014)
IAR
Ohio(3/21/2014)
IAR
Rhode Island(12/20/2021)
IAR
South Carolina(9/17/2021)
RR
Tennessee(1/11/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
VA
VALMARK ADVISERS, INC.
VALMARK ADVISERS INC | VALMARK ADVISERS, INC.
CRD#: 108050 / SEC#: 801-55564
RIA
Registered Investment Advisory firm - (5/29/1998 Approved)Wyoming
Registered Investment Advisory firm - (8/11/2017 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
130 Springside Drive Suite 300, Akron, OH 44333
Mailing Address
Phone number
(800) 765-5201
Established
Firm type
Fiscal year end
# of Employees
275
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 19,096 |
| AUM (Assets Under Management) | $ 8,379,181,235 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
