John H. Moore

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CRD#: 4638677

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.

John Hoffman Moore III was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 2003. John had worked at 6 firms and has passed the Series 66, SIE, Series 31 and Series 7 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)

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

May 15, 2019 - June 7, 2024

EASTSOUND CAPITAL ADVISORS, LLC

RIA

CRD#: 160180

Eastsound, WA

Past

October 3, 2016 - December 31, 2018

INSTITUTE FOR WEALTH ADVISORS, INC.

RIA

CRD#: 149347

Cumming, GA

Past

November 7, 2014 - August 25, 2016

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

DULUTH, GA

Past

November 7, 2014 - August 25, 2016

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

DULUTH, GA

Past

April 16, 2008 - November 17, 2014

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

ALPHARETTA, GA

Past

April 16, 2008 - November 17, 2014

UBS FINANCIAL SERVICES INC.

CRD#: 8174

ALPHARETTA, GA

Past

April 2, 2007 - April 17, 2008

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

DALLAS, TX

Past

April 2, 2007 - April 17, 2008

MORGAN STANLEY & CO. LLC

CRD#: 8209

DALLAS, TX

Past

September 15, 2003 - April 2, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

DALLAS, TX

Past

April 25, 2003 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

DALLAS, TX

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".

EASTSOUND CAPITAL ADVISORS, LLC

CRD#: 160180 / SEC#: 801-129635

RIA

Registered Investment Advisory firm - (3/8/2024 Approved)

California

Registered Investment Advisory firm - (4/24/2024 Terminated)

Colorado

Registered Investment Advisory firm - (3/27/2024 Terminated)

Louisiana

Registered Investment Advisory firm - (3/28/2024 Terminated)

Massachusetts

Registered Investment Advisory firm - (3/25/2024 Terminated)

Michigan

Registered Investment Advisory firm - (2/23/2023 Terminated)

Texas

Registered Investment Advisory firm - (3/25/2024 Terminated)

Washington

Registered Investment Advisory firm - (4/25/2024 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.

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

State Security Law Exam

IAR

Series 66

Date: 5/8/2003

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 8/25/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 8/7/2003

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 4/24/2003

General Securities Representative Examination

Current Firm

EASTSOUND CAPITAL ADVISORS, LLC

CRD#: 160180 / SEC#: 801-129635

RIA

Registered Investment Advisory firm - (3/8/2024 Approved)

California

Registered Investment Advisory firm - (4/24/2024 Terminated)

Colorado

Registered Investment Advisory firm - (3/27/2024 Terminated)

Louisiana

Registered Investment Advisory firm - (3/28/2024 Terminated)

Massachusetts

Registered Investment Advisory firm - (3/25/2024 Terminated)

Michigan

Registered Investment Advisory firm - (2/23/2023 Terminated)

Texas

Registered Investment Advisory firm - (3/25/2024 Terminated)

Washington

Registered Investment Advisory firm - (4/25/2024 Terminated)

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Contact information

Main Address

Eastsound, WA

Mailing Address

Phone number

(360) 317-4688

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2A 2B BROCHURE EASTSOUND J PIETSCH 10.25 (10/24/2025)

2B BROCHURE HUME 9.25V1 (9/12/2025)

2B BROCHURE BUTLER 7.25 (7/22/2025)

2B BROCHURE SYLER 6.25 (6/26/2025)

2B BROCHURE TAYLAN 6.25 (6/26/2025)

2B BROCHURE HANNA 3.24 (3/21/2025)

Regulatory assets under management

Total Number of Accounts	450
AUM (Assets Under Management)	$ 167,704,000

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

John H. Moore

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

INSTITUTE FOR WEALTH ADVISORS, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

EASTSOUND CAPITAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/8/2003

SIE

Date: 8/25/2016

Series 31

Date: 8/7/2003

Series 7

Date: 4/24/2003

Current Firm

EASTSOUND CAPITAL ADVISORS, LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

EASTSOUND CAPITAL ADVISORS, LLC

TRUST BUT VERIFY

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