Donald J. Moore

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CRD#: 4450264

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.

Donald James Moore was a registered financial professional .

Donald is a previously registered financial professional and started their career in finance in 1997. Donald had worked at 1 firm .

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 8, 1997 - March 12, 2015

DANA INVESTMENT ADVISORS INC

RIA

CRD#: 105879

BROOKFIELD, WI

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".

DANA INVESTMENT ADVISORS INC

CRD#: 105879 / SEC#: 801-14828

RIA

Registered Investment Advisory firm - (9/21/1979 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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

Current Firm

DANA INVESTMENT ADVISORS INC

CRD#: 105879 / SEC#: 801-14828

RIA

Registered Investment Advisory firm - (9/21/1979 Approved)

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Contact information

Main Address

20700 Swenson Drive, Suite 400, Waukesha, WI 53186-0904

Mailing Address

P.o. Box 1067, Brookfield, WI 53008-1067

Phone number

(262) 782-3631

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2 (3/28/2025)

Regulatory assets under management

Total Number of Accounts	3,699
AUM (Assets Under Management)	$ 5,757,433,150

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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Donald J. Moore

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

DANA INVESTMENT ADVISORS INC

Primary Firm SEC Registration

DANA INVESTMENT ADVISORS INC

State Registrations and Notice Filings

Exams

Current Firm

DANA INVESTMENT ADVISORS INC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DANA INVESTMENT ADVISORS INC

TRUST BUT VERIFY

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