Nathaniel L. Moore
PLANMEMBER SECURITIES
Fresno, CA 93711
Some features on this profile are disabled
CRD#: 3271750
Professional summary
Nathaniel Lee Moore, CFP®, who also goes by Nathan Moore, Nathaniel Lee Moore, is a registered financial advisor currently at PLANMEMBER SECURITIES CORPORATION located in Fresno, California.
Nathaniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Nathaniel has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nathan Moore | Nathaniel Lee 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)Agape Planning Partners, Inc.- 6780 N. West Ave Suite 101A Fresno, CA 93711; Investment related; Securities, financial planning & insurance sales & svcs; President; Start date 5/2009; 160 hrs/mnth; 80 hrs/mnth during trading. 2) NLM Insurance Agency-6780 N. West Ave Suite 101A Fresno, CA 93711; Investment related; Insurance (fixed) sales & svcs; President; Start date 6/2008; 10 hrs/mnth 0 hrs/mnth during trading. 3) Fresno County Historical Society-7160 W. Kearney Blvd, Fresno, CA 93706; Noninvestment related; Mission is to preserve the history & culture of the Central Valley; Board member; Start date 12/2020; 2 hrs/mnth; 0 hrs/mnth during trading. 4) The Intentionality Coach-PO Box 27708, Fresno, CA 93729; Noninvestment related; Public Speaking/Coaching svcs; Speaker/Presenter; Start date 8/2016; 2 hrs/mnth; 0 hrs/mnth during trading. 5) Fresno Unified School District-2309 Tulare St, Fresno, CA 93721; Noninvestment related; School Site Mentoring; Youth Mentor; Start date 2/2015; 4 hrs/mnth & during trading. 6)UNIVERSITY ADVISORY COUNCIL-CALIFORNIA STATE UNIVERSITY FRESNO; 5241 N. Maple Ave, Fresno CA 93740; Start date 09/01/2022; Advisory Council Member; The advisory council meets 4 times per year to operate as a community based sounding board for the President of Fresno State. He brings various ideas to the table for open dialogue. We are not a governing board. We do not enact policy, budgets, or any of the operational decisions of the university.; NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1; NIR (7) NADEZ LLC; PO Box 27708, Fresno CA 93729; START DATE: 09/01/2023; Partner; Invest in residential real estate for our personal portfolio; NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0; NIR (8) Agape Planning Partners-LANDLORD; 6780 N. West Ave, Suite 101A, Fresno CA 93711; START DATE: 08/01/2023; Landlord; Landlord for office space sub-leased to PlanMember advisor DBA businesses; NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0; NIR (9)Blue Devils PERFORMING ARTS; 4065 Nelson Ave, Concord CA 94520; Start Date 1/1/2023; Board Member at large; The board activities include Bi-monthly meetings to help shape the direction of the organization. Discuss activities it will be involved with, and facilitate conversation surrounding organization structure.; NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0; NIR (10) CBMC; 8050 N. Palm Ave, Suite 300, Fresno CA 93720; Board Member at large; Non profit organization to promote the connection of business men of faith.; 1 hr/mo; 0 hrs/mo during trading; NIR (11) Kuppa Care; 518 Clovis Ave. Clovis CA 93612; Start Date 7/31/2025; board member; board member for organization providing coffee and services to homeless individuals and support of other non-profits in the community; 1 hr/mo; 0 hrs/mo during trading; NIR (12) Wings for Widows; 6780 West Ave. Suite 101A Fresno CA 93711; Start Date 9/30/2025; Financial Planner; Receive referrals for potential financial planning needs from Wings for Widows. Initial meeting is complimentary, but all activity is conducted and supervised as Agape Planning Partners.; 1 hr/mo; 0 hrs/mo during trading; IR
CRS (Client Relationship Summary) - RIA
Click below to view Nathaniel Lee Moore's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Nathaniel Lee 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®
Start date: 2002
Experience
Current
March 14, 2022 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 6780 N. West Ave., Suite 101a, Fresno, CA 93711RIA
BD
CRD#: 11869
Fresno, CA
Current
March 14, 2022 - Present
PLANMEMBER SECURITIES CORPORATION
Office #1: 6780 N. West Ave., Suite 101a, Fresno, CA 93711RIA
BD
CRD#: 11869
Fresno, CA
Past
July 22, 2008 - April 10, 2022
LPL FINANCIAL LLC
RIA
CRD#: 6413
FRESNO, CA
Past
July 21, 2008 - April 10, 2022
LPL FINANCIAL LLC
BD
CRD#: 6413
FRESNO, CA
Past
August 10, 2000 - July 23, 2008
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
FRESNO, CA
Past
September 9, 1999 - July 23, 2008
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
FRESNO, 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".
PS
PLANMEMBER SECURITIES CORPORATION
INVESTORS RETIREMENT & MANAGEMENT CORPORATION | PLANMEMBER SECURITIES CORPORATION | IRM DISTRIBUTORS, INC.
CRD#: 11869 / SEC#: 801-39177, 8-25065
RIA
Registered Investment Advisory firm - SEC (6/27/1991 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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
Arizona(4/8/2025)
IAR
California(3/14/2022)
RR
California(3/15/2022)
RR
Colorado(3/15/2022)
RR
Idaho(3/14/2022)
RR
Illinois(5/5/2025)
RR
Maryland(8/8/2025)
RR
Massachusetts(11/8/2023)
RR
Michigan(6/26/2025)
RR
Minnesota(4/2/2025)
RR
Nevada(8/16/2024)
RR
New Jersey(4/2/2025)
RR
New York(5/28/2022)
RR
North Dakota(4/7/2025)
RR
Ohio(4/2/2025)
RR
Oklahoma(3/26/2024)
RR
Oregon(3/14/2022)
RR
Pennsylvania(4/2/2025)
RR
Rhode Island(5/9/2024)
RR
South Carolina(4/3/2025)
RR
Tennessee(4/2/2025)
RR
Texas(3/14/2022)
IAR
Texas(3/14/2022)
RR
Utah(9/11/2025)
RR
Washington(4/2/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PS
PLANMEMBER SECURITIES CORPORATION
INVESTORS RETIREMENT & MANAGEMENT CORPORATION | PLANMEMBER SECURITIES CORPORATION | IRM DISTRIBUTORS, INC.
CRD#: 11869 / SEC#: 801-39177, 8-25065
RIA
Registered Investment Advisory firm - SEC (6/27/1991 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
6187 Carpinteria Avenue, Carpinteria, CA 93013
Mailing Address
6187 Carpinteria Avenue, Carpinteria, CA 93013-2060
Phone number
(805) 684-1199
Established
California since 03/12/1982
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
432
SEC notice filing (52 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PLANMEMBER FINANCIAL CORPORATION | OWNER | |
| BOWMAN, BYRON FRANCIS | CHIEF LEGAL OFFICER & SECRETARY | 2673117 |
| HALEY, SEAN PATRICK | CHIEF COMPLIANCE OFFICER | 2837579 |
| HANSON, STEVEN R | CHIEF FINANCIAL OFFICER / FINOPS | 4854600 |
| JANEWAY, TERRALL JOSEPH | EVP/CHIEF OPERATING OFFICER | 2947154 |
| ZIEHL, JON MICHAEL | PRESIDENT | 707642 |
Regulatory assets under management
| Total Number of Accounts | 68,978 |
| AUM (Assets Under Management) | $ 9,035,509,268 |
Disclosures
| Regulatory Event | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/21/2022 | ||
| 12/21/2022 |
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.
