Dennis J. Moore

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CRD#: 4845675

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.

Dennis Joe Moore JR., CFP® was a registered financial professional .

Dennis is a previously registered financial professional and started their career in finance in 2010. Dennis had worked at 3 firms and has passed the Series 66, SIE, 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.

1. Blacksmith's Granddaughter Address: Dallas, TX Nature of the Business: Business Owner Position/Title: Business Owner Investment Related:No Start Date: 06/29/2020 Hours per month devoted to this business: 0 Hours per month devoted to this business during trading hours: 0 Description of duties: My wife and I set up this LLC to purchase property. 2. Name of outside business: Financial Planning Association; Is the business investment related: No; Location of the business: 1290 Broadway, Suite 1625, Denver, CO, 80203; Description of the business: Financial Planning Association - membership association for financial planning; Position Title: President; Responsibilities Duties: I am on the Executive Committee for the FPA. ; Start date with business: 2018-01-01; Hours devoted to business during trading hours: 12; Hours devoted to business outside trading hours: 12; This is a volunteer position, and I do not receive any compensation.

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®

CFP^®

Certified Financial Planner

Experience

Past

November 23, 2021 - February 1, 2023

MERCER GLOBAL ADVISORS INC.

RIA

CRD#: 147363

Dallas, TX

Past

March 9, 2011 - March 22, 2022

QUEST CAPITAL MANAGEMENT, INC.

RIA

CRD#: 114690

DALLAS, TX

Past

November 6, 2010 - April 7, 2021

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

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".

MERCER GLOBAL ADVISORS INC.

MERCER ADVISORS | MERCER GLOBAL ADVISORS INC.

CRD#: 147363 / SEC#: 801-69271

RIA

Registered Investment Advisory firm - (5/30/2008 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

State Security Law Exam

IAR

Series 66

Date: 12/7/2010

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/5/2010

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/30/2011

General Securities Principal Examination

Current Firm

MERCER GLOBAL ADVISORS INC.

MERCER ADVISORS | MERCER GLOBAL ADVISORS INC.

CRD#: 147363 / SEC#: 801-69271

RIA

Registered Investment Advisory firm - (5/30/2008 Approved)

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Contact information

Main Address

1200 17th Street Suite 2000, Denver, CO 80202

Mailing Address

Phone number

(888) 885-8101

Established

Firm type

Fiscal year end

# of Employees

1,166

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MERCER GLOBAL ADVISORS INC. ADV PART 2A AUGUST 21 2025 (8/21/2025)

Regulatory assets under management

Total Number of Accounts	99,044
AUM (Assets Under Management)	$ 60,256,270,580

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/29/2025	Cover Page	Report
07/31/2024	Cover Page	Report
09/28/2023	Cover Page	Report
12/07/2022	Cover Page	Report

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

Dennis J. Moore

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

QUEST CAPITAL MANAGEMENT, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

MERCER GLOBAL ADVISORS INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 12/7/2010

SIE

Date: 10/1/2018

Series 7

Date: 11/5/2010

Series 24

Date: 12/30/2011

Current Firm

MERCER GLOBAL ADVISORS INC.

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

MERCER GLOBAL ADVISORS INC.

TRUST BUT VERIFY

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