Kenneth M. 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.
Kenneth M Moore JR., who also goes by Ken Moore, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 2000. Kenneth had worked at 4 firms and has passed the Series 66, Series 7 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 21, 2007 - April 12, 2024
GLOBAL VIEW INVESTMENT ADVISORS, LLC
March 28, 2005 - May 16, 2008
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
September 3, 2004 - March 28, 2005
CAMBRIDGE INVESTMENT RESEARCH, INC.
September 3, 2004 - December 31, 2009
CAMBRIDGE INVESTMENT RESEARCH, INC.
July 5, 2000 - September 8, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
GLOBAL VIEW INVESTMENT ADVISORS, LLC
CRD#: 145499 / SEC#: 801-68500
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
Current Firm
GLOBAL VIEW INVESTMENT ADVISORS, LLC
CRD#: 145499 / SEC#: 801-68500
Contact information
SEC notice filing (4 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,656 |
| AUM (Assets Under Management) | $ 553,787,104 |
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.
