Andrew T. Moore

B. RILEY SECURITIES

Los Angeles, CA 90025

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CRD#: 4574997

Professional summary

Andrew Thomas Moore is a registered financial professional currently at B. RILEY SECURITIES, INC. located in Los Angeles, California.

Andrew is registered as a RR (Registered Representative) and started their career in finance in 2002. Andrew has worked at 6 firms and has passed the Series 66, SIE, Series 87, Series 7 and Series 24 exams.

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) - BD

Click below to view Andrew Thomas Moore'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

June 27, 2017 - Present

B. RILEY SECURITIES, INC.

Office #1: 11100 Santa Monica Blvd. Suite 800, Los Angeles, CA 90025

CRD#: 25027

Los Angeles, CA

Past

January 28, 2022 - January 3, 2023

FOCALPOINT SECURITIES, LLC

CRD#: 133168

LOS ANGELES, CA

Past

February 4, 2010 - December 31, 2019

LODESTONE CAPITAL MANAGEMENT

RIA

CRD#: 151911

MANHATTAN BEACH, CA

Past

November 5, 2009 - April 16, 2014

B. RILEY & CO., LLC

RIA

CRD#: 40355

LOS ANGELES, CA

Past

March 23, 2006 - November 30, 2017

B. RILEY & CO., LLC

CRD#: 40355

LOS ANGELES, CA

Past

August 12, 2003 - February 16, 2006

ROTH CAPITAL PARTNERS, LLC

CRD#: 15407

NEWPORT BEACH, CA

Past

November 12, 2002 - August 14, 2003

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

DALLAS, TX

Past

October 15, 2002 - August 14, 2003

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

State Registrations and Notice Filings

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

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

California
(6/27/2017)

Texas
(6/28/2024)

Exams

State Security Law Exam

IAR

Series 66

Date: 11/4/2002

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 87

Date: 3/10/2016

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 7

Date: 10/14/2002

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/4/2012

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

B. RILEY SECURITIES, INC.

B. RILEY FBR, INC. | FRIEDMAN, BILLINGS, RAMSEY & CO., INC. | FBR CAPITAL MARKETS & CO. | B. RILEY SECURITIES, INC.

CRD#: 25027 / SEC#: , 8-41426

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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Contact information

Main Address

11100 Santa Monica Blvd Suite 800, Los Angeles, CA 90025

Mailing Address

11100 Santa Monica Blvd Suite 800, Los Angeles, CA 90025

Phone number

(310) 966-1444

Established

Delaware since 06/16/1989

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
B. RILEY SECURITIES HOLDINGS, INC.	DIRECT PARENT
BAKER, JAMES RICHARD	CO-CHIEF EXECUTIVE OFFICER	5834046
INNIS, KATHLEEN GIBBONS	CHIEF COMPLIANCE OFFICER	2112837
MCCOY, MICHAEL RICHARD	CHIEF FINANCIAL OFFICER	4743031
MOORE, ANDREW THOMAS	CO-CHIEF EXECUTIVE OFFICER	4574997
SCHUTT, JANELLE REGINA	CONTROLLER	2853858

Disclosures

Regulatory Event	12
Civil Event	1
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.

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Advisor Monitoring

Firm Stability Insights

Andrew T. Moore

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Andrew Thomas Moore's CRS (Customer Relationship Summary).

Certified licenses

Experience

FOCALPOINT SECURITIES, LLC

LODESTONE CAPITAL MANAGEMENT

B. RILEY & CO., LLC

B. RILEY & CO., LLC

ROTH CAPITAL PARTNERS, LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/4/2002

SIE

Date: 10/1/2018

Series 87

Date: 3/10/2016

Series 7

Date: 10/14/2002

Series 24

Date: 4/4/2012

FINRA

Nasdaq Stock Market

Current Firm

B. RILEY SECURITIES, INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

B. RILEY SECURITIES, INC.

TRUST BUT VERIFY

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