Douglas R. Moe

TEAMWORK FINANCIAL ADVISORS

San Antonio, TX 78257

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CRD#: 4209174

Professional summary

Douglas Ronald Moe is a registered financial advisor currently at TEAMWORK FINANCIAL ADVISORS, LLC located in San Antonio, Texas.

Douglas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Douglas has worked at 6 firms and has passed the Series 65, Series 66, Series 63 and Series 7 exams.

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.

PRACTICE LAW FOR MOE & LYTTON, USING APPROXIMATELY 8 HOURS PER MONTH, ALL DURING SECURITIES TRADING HOURS. SELL INSURANCE PRODUCTS, USING APPROXIMATELY 25 HOURS PER MONTH, OF WHICH 10 HOURS PER MONTH FALL DURING SECURITIES TRADING HOURS. Doug Moe is a consulting and limited partner of a company that provides legal, tax and consulting services. His duties include investment in materials transported for industrial manufacturers. 0 hours a month are spent on this activity during trading hours and 16 hours are spent on this activity outside of trading hours. 10% of his yearly compensation comes from these activities.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas Ronald Moe's CRS (Customer Relationship Summary).

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®

None

Experience

Current

October 1, 2012 - Present

TEAMWORK FINANCIAL ADVISORS, LLC

Office #1: 8 Dominion Drive Bldg 100-103, San Antonio, TX 78257Office #2: 200 N. Seguin Ste. 9, New Braunfels, TX 78130Office #3: 201 W. Hillside Suite 19, Laredo, TX 78041

RIA

CRD#: 165237

San Antonio, TX

Past

May 15, 2009 - September 19, 2012

QUESTAR ASSET MANAGEMENT, INC.

RIA

CRD#: 133358

MINNEAPOLIS, MN

Past

March 31, 2009 - September 19, 2012

QUESTAR CAPITAL CORPORATION

CRD#: 43100

SAN ANTONIO, TX

Past

August 15, 2005 - April 8, 2009

BROAD STREET SECURITIES, INC.

CRD#: 36101

SAN ANTONIO, TX

Past

November 18, 2003 - August 31, 2005

NEXT FINANCIAL GROUP, INC.

RIA

CRD#: 46214

SAN ANTONIO, TX

Past

March 1, 2001 - August 31, 2005

NEXT FINANCIAL GROUP, INC.

CRD#: 46214

HOUSTON, TX

Past

August 30, 2000 - March 2, 2001

FBD INVESTMENT SERVICES, INC.

CRD#: 35592

LEAWOOD, KS

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".

TEAMWORK FINANCIAL ADVISORS, LLC

TEAMWORK FINANCIAL ADVISORS LLC | TEAMWORK FINANCIAL ADVISORS, LLC

CRD#: 165237 / SEC#: 801-114801

RIA

Registered Investment Advisory firm - (3/6/2019 Approved)

Texas

Registered Investment Advisory firm - (3/27/2019 Terminated)

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).

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

Texas
(10/1/2012)

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: 5/14/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 11/14/2003

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/12/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/29/2000

General Securities Representative Examination

Current Firm

TEAMWORK FINANCIAL ADVISORS, LLC

TEAMWORK FINANCIAL ADVISORS LLC | TEAMWORK FINANCIAL ADVISORS, LLC

CRD#: 165237 / SEC#: 801-114801

RIA

Registered Investment Advisory firm - (3/6/2019 Approved)

Texas

Registered Investment Advisory firm - (3/27/2019 Terminated)

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Contact information

Main Address

8 Dominion Drive Bldg 100-103, San Antonio, TX 78257

Mailing Address

Phone number

(210) 687-1333

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (15 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TEAMWORK FINANCIAL ADVISORS, LLC ADV PART 2A (3/20/2025)

Regulatory assets under management

Total Number of Accounts	4,253
AUM (Assets Under Management)	$ 800,455,586

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.

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Firm Stability Insights

Douglas R. Moe

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas Ronald Moe's CRS (Customer Relationship Summary).

Certified licenses

Experience

QUESTAR ASSET MANAGEMENT, INC.

QUESTAR CAPITAL CORPORATION

BROAD STREET SECURITIES, INC.

NEXT FINANCIAL GROUP, INC.

NEXT FINANCIAL GROUP, INC.

FBD INVESTMENT SERVICES, INC.

Primary Firm SEC Registration

TEAMWORK FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/14/2009

Series 66

Date: 11/14/2003

Series 63

Date: 2/12/2001

Series 7

Date: 8/29/2000

Current Firm

TEAMWORK FINANCIAL ADVISORS, LLC

Contact information

SEC notice filing (15 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TEAMWORK FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

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