Gregory L. Moore

RIVERCITIES ASSET MANAGEMENT

OWENSBORO, KY 42303

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CRD#: 3135366

Professional summary

Gregory Louis Moore, CFP® is a registered financial advisor currently at RIVERCITIES ASSET MANAGEMENT, LLC located in Owensboro, Kentucky.

Gregory is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Gregory has worked at 1 firm and has passed the Series 65 exam.

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gregory Louis 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®

CFP^®

Certified Financial Planner

Start date: 1989

Experience

Current

October 29, 1998 - Present

RIVERCITIES ASSET MANAGEMENT, LLC

Office #1: 2900 Veach Road Suite 2, Owensboro, KY 42303

RIA

CRD#: 122576

OWENSBORO, KY

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

Indiana
(11/18/1998)

IAR

Kentucky
(10/29/1998)

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: 9/25/1998

Uniform Investment Adviser Law Examination

Current Firm

RIVERCITIES ASSET MANAGEMENT, LLC

CRD#: 122576 / SEC#: 801-67778

RIA

Registered Investment Advisory firm - (6/3/2009 Terminated)

Indiana

Registered Investment Advisory firm - (5/11/2009 Approved)

Kentucky

Registered Investment Advisory firm - (5/21/2009 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

2900 Veach Road Suite 2, Owensboro, KY 42303

Mailing Address

Phone number

(270) 926-4540

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	183
AUM (Assets Under Management)	$ 65,924,728

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Gregory L. Moore

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gregory Louis Moore's CRS (Customer Relationship Summary).

Certified licenses

Experience

RIVERCITIES ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/25/1998

Current Firm

RIVERCITIES ASSET MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

RIVERCITIES ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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