GM
George Moore
CARTER, TERRY & COMPANY
Atlanta, GA 30305
Some features on this profile are disabled
CRD#: 338912
GM
Professional summary
George Moore III, who also goes by George Moore, is a registered financial advisor currently at CARTER, TERRY & COMPANY, INC. located in Atlanta, Georgia.
George is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1968. George has worked at 5 firms and has passed the Series 63, Series 7TO, SIE, PC and Series 1 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
George 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.
REAL ESTATE OWNERSHIP: COMMERCIAL, J.CARTER BLVD AND BUFORD HWY, COMP:$5000+/ COMMERCIAL, CHURCH ST. DECATUR GA, COMP:$2,000 TO $2,999
FIDUCIARY ACTIVITIES: POA, COMP: $0
CRS (Client Relationship Summary) - RIA
Click below to view George Moore III's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view George Moore III'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
February 16, 2015 - Present
CARTER, TERRY & COMPANY, INC.
Office #1: 3060 Peachtree Rd Nw Suite 1200, Atlanta, GA 30305RIA
BD
CRD#: 16365
Atlanta, GA
Current
June 17, 2014 - Present
CARTER, TERRY & COMPANY, INC.
Office #1: 3060 Peachtree Road Suite 1200, Atlanta, GA 30305RIA
BD
CRD#: 16365
Atlanta, GA
Past
October 5, 2009 - June 23, 2014
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
ATLANTA, GA
Past
October 5, 2009 - June 23, 2014
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
ATLANTA, GA
Past
August 24, 2007 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
RIA
CRD#: 5979
ATLANTA, GA
Past
July 27, 2007 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
BD
CRD#: 5979
ATLANTA, GA
Past
March 18, 2003 - August 2, 2007
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
ATLANTA, GA
Past
June 1, 1978 - August 2, 2007
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
ATLANTA, GA
Past
September 18, 1968 - June 22, 1978
JOHNSON, LANE, SPACE, SMITH & CO., INC.
BD
CRD#: 472
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".
CT
CARTER, TERRY & COMPANY, INC.
ATTKISSON AND ASSOCIATES, INCORPORATED | WICKHAM FINANCIAL & INSURANCE SERVICES | FJB SECURITIES, INC. | CARTER, TERRY & COMPANY, INC. | ATTKISSON, CARTER AND ASSOCIATES, INCORPORATED | ATTKISSON, CARTER & COMPANY, INC. | ATTKISSON, CARTER & AKERS, INCORPORATED | ATTKISSON CARTER & COMPANY, INC.
CRD#: 16365 / SEC#: 801-113129, 8-33797
RIA
Registered Investment Advisory firm - SEC (4/30/2018 Approved)Florida
Registered Investment Advisory firm - SEC (6/29/2018 Terminated)Georgia
Registered Investment Advisory firm - SEC (7/26/2018 Terminated)New Jersey
Registered Investment Advisory firm - SEC (6/30/2018 Terminated)North Carolina
Registered Investment Advisory firm - SEC (6/29/2018 Terminated)Oklahoma
Registered Investment Advisory firm - SEC (6/29/2018 Terminated)Virginia
Registered Investment Advisory firm - SEC (6/29/2018 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta 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
California(6/17/2014)
RR
Colorado(1/11/2022)
RR
Florida(6/17/2014)
RR
Georgia(6/17/2014)
IAR
Georgia(2/16/2015)
RR
New York(6/17/2014)
RR
Tennessee(6/17/2014)
RR
Virginia(6/17/2014)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
PC
Date: 10/10/1978
AMEX Put and Call ExamGeneral Industry/Product Exam
RR
Series 1
Date: 9/11/1968
Registered Representative ExaminationSRO Registrations
RR
FINRA
Current Firm
CT
CARTER, TERRY & COMPANY, INC.
ATTKISSON AND ASSOCIATES, INCORPORATED | WICKHAM FINANCIAL & INSURANCE SERVICES | FJB SECURITIES, INC. | CARTER, TERRY & COMPANY, INC. | ATTKISSON, CARTER AND ASSOCIATES, INCORPORATED | ATTKISSON, CARTER & COMPANY, INC. | ATTKISSON, CARTER & AKERS, INCORPORATED | ATTKISSON CARTER & COMPANY, INC.
CRD#: 16365 / SEC#: 801-113129, 8-33797
RIA
Registered Investment Advisory firm - SEC (4/30/2018 Approved)Florida
Registered Investment Advisory firm - SEC (6/29/2018 Terminated)Georgia
Registered Investment Advisory firm - SEC (7/26/2018 Terminated)New Jersey
Registered Investment Advisory firm - SEC (6/30/2018 Terminated)North Carolina
Registered Investment Advisory firm - SEC (6/29/2018 Terminated)Oklahoma
Registered Investment Advisory firm - SEC (6/29/2018 Terminated)Virginia
Registered Investment Advisory firm - SEC (6/29/2018 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
3060 Peachtree Road Suite 1200 Suite 1200, Atlanta, GA 30305
Mailing Address
3060 Peachtree Road Suite 1200, Atlanta, GA 30305
Phone number
(404) 364-2070
Established
Georgia since 03/12/1985
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
37
SEC notice filing (12 States and Territories)
FINRA licenses (49 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 185 |
| AUM (Assets Under Management) | $ 111,326,459 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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.
