Tom T. Moore
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Tom Thorn Moore, who also goes by Thomas Thorn Moore, Tom Moore, was a registered financial professional .
Tom is a previously registered financial professional and started their career in finance in 1969. Tom had worked at 15 firms and has passed the Series 65, Series 63, Series 1 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 9, 2004 - March 19, 2014
RETIREMENT PLAN ADVISORS, LLC
April 11, 2000 - December 31, 2013
CAMBRIDGE INVESTMENT RESEARCH, INC.
February 24, 1987 - May 27, 1987
SECURITIES NETWORK, INC.
June 19, 1983 - February 19, 1991
AETNA LIFE INSURANCE AND ANNUITY COMPANY
September 10, 1980 - March 31, 2000
NATIONWIDE INVESTMENT SERVICES CORPORATION
March 23, 1978 - May 18, 1987
TOWER SQUARE SECURITIES, INC.
September 9, 1977 - September 1, 1978
FIFTH THIRD/MAXUS SECURITIES INC
April 21, 1977 - November 4, 1977
ROVINSKY & CO., INC.
December 13, 1976 - April 4, 1977
PHIL YOUNG SECURITIES, INC
December 12, 1975 - October 29, 1977
THE VARIABLE ANNUITY MARKETING COMPANY
June 24, 1974 - October 24, 1979
CALIFORNIA-WESTERN STATES LIFE INSURANCE COMPANY
June 24, 1974 - October 24, 1979
CAL-WESTERN SECURITIES CO.
August 24, 1973 - November 16, 1973
LINCOLN FINANCIAL DISTRIBUTORS, INC.
March 7, 1972 - June 11, 1977
TOWER SQUARE SECURITIES, INC.
September 2, 1970 - August 2, 1973
CALIFORNIA-WESTERN STATES LIFE INSURANCE COMPANY
August 5, 1970 - June 24, 1977
AMERICAN PENSION INVESTMENTS, INC.
April 23, 1969 - February 1, 1971
ADVANTAGE CAPITAL CORPORATION
Primary Firm SEC Registration
RETIREMENT PLAN ADVISORS, LLC
CRD#: 122758 / SEC#: 801-63261
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 9/28/1968
Registered Representative ExaminationCurrent Firm
RETIREMENT PLAN ADVISORS, LLC
CRD#: 122758 / SEC#: 801-63261
Contact information
SEC notice filing (35 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 8,148 |
| AUM (Assets Under Management) | $ 1,882,191,054 |
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.
