Thomas G. Moore

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CRD#: 4711567

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.

Thomas Gerard Moore, who also goes by Tom Moore, was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 2003. Thomas had worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Tom Moore

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.

BAXTER CREDIT UNION BAXTER CREDIT UNION PROVIDES BANKING SERVICES TO CONSUMERS AND BUSINESSES AND MY ROLE IS NOT DIRECTLY INVESTMENT RELATED. 340 N MILWAUKEE AVE VERNON HILLS, IL 60061 SENIOR VICE PRESIDENT - FINANCIAL PRODUCTS AND STRATEGIES EMPLOYMENT COMMENCED IN AUGUST, 2009 30 HOURS A WEEK IS DEDICATED TO OTHER BUSINESS 80% OF MY TIME DURING TRADING HOURS IS DEDICATED TO OTHER BUSINESS OTHER BUSINESS INCLUDES A ROLE ON SENIOR MANAGEMENT WITH ATTENTION TO RISK MANAGEMENT, STRATEGY, AND GENERAL ADMINISTRATION BCU WEALTH ADVISORS, LLC; POSITION: BOARD OF MANAGERS (NO CLIENT ADVISORY ACTIVITIES); LOCATED AT BAXTER CREDIT UNION; NATURE OF BUSINESS: REGISTERED INVESTMENT ADVISOR; START DATE 8/10/2012; NO COMPENSATION; 2 HOURS PER MONTH DURING MARKET HOURS.

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 30, 2012 - June 15, 2022

BCU WEALTH ADVISORS, LLC

RIA

CRD#: 164173

VERNON HILLS, IL

Past

July 20, 2012 - March 10, 2015

CUSO FINANCIAL SERVICES, L.P.

CRD#: 42132

VERNON HILLS, IL

Past

June 28, 2012 - March 10, 2015

CUSO FINANCIAL SERVICES, L.P.

RIA

CRD#: 42132

VERNON HILLS, IL

Past

September 18, 2009 - July 6, 2010

CUNA BROKERAGE SERVICES, INC.

RIA

CRD#: 13941

VERNON HILLS, IL

Past

September 18, 2009 - July 6, 2010

CUNA BROKERAGE SERVICES, INC.

CRD#: 13941

VERNON HILLS, IL

Past

August 5, 2004 - April 13, 2009

BALANCE SHEET SOLUTIONS LLC

RIA

CRD#: 124786

WARRENVILLE, IL

Past

December 10, 2003 - April 13, 2009

BALANCE SHEET SOLUTIONS LLC

CRD#: 124786

WARRENVILLE, IL

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".

BCU WEALTH ADVISORS, LLC

CRD#: 164173 / SEC#: 801-81122

RIA

Registered Investment Advisory firm - (3/12/2015 Approved)

California

Registered Investment Advisory firm - (4/12/2015 Terminated)

Illinois

Registered Investment Advisory firm - (3/13/2015 Terminated)

Louisiana

Registered Investment Advisory firm - (9/14/2015 Terminated)

Minnesota

Registered Investment Advisory firm - (3/12/2015 Terminated)

Texas

Registered Investment Advisory firm - (3/13/2015 Terminated)

Wisconsin

Registered Investment Advisory firm - (3/13/2015 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

Series 63

Date: 12/30/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 3/10/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/9/2003

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/1/2004

General Securities Principal Examination

Current Firm

BCU WEALTH ADVISORS, LLC

CRD#: 164173 / SEC#: 801-81122

RIA

Registered Investment Advisory firm - (3/12/2015 Approved)

California

Registered Investment Advisory firm - (4/12/2015 Terminated)

Illinois

Registered Investment Advisory firm - (3/13/2015 Terminated)

Louisiana

Registered Investment Advisory firm - (9/14/2015 Terminated)

Minnesota

Registered Investment Advisory firm - (3/12/2015 Terminated)

Texas

Registered Investment Advisory firm - (3/13/2015 Terminated)

Wisconsin

Registered Investment Advisory firm - (3/13/2015 Terminated)

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Contact information

Main Address

300 N. Milwaukee Avenue, Vernon Hills, IL 60061

Mailing Address

Phone number

(847) 932-8007

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (19 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2 AND 2B 030725 (3/7/2025)

BCU WEALTH WRAP BROCHURE 021025 (2/10/2025)

Regulatory assets under management

Total Number of Accounts	1,899
AUM (Assets Under Management)	$ 534,972,633

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

Thomas G. Moore

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CUSO FINANCIAL SERVICES, L.P.

CUSO FINANCIAL SERVICES, L.P.

CUNA BROKERAGE SERVICES, INC.

CUNA BROKERAGE SERVICES, INC.

BALANCE SHEET SOLUTIONS LLC

BALANCE SHEET SOLUTIONS LLC

Primary Firm SEC Registration

BCU WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/30/2003

SIE

Date: 3/10/2015

Series 7

Date: 12/9/2003

Series 24

Date: 6/1/2004

Current Firm

BCU WEALTH ADVISORS, LLC

Contact information

SEC notice filing (19 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BCU WEALTH ADVISORS, LLC

TRUST BUT VERIFY

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