Alfred S. Moore

ROTH CAPITAL PARTNERS

Newport Beach, CA 92660

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CRD#: 4878414

Professional summary

Alfred Shopland Moore is a registered financial professional currently at ROTH CAPITAL PARTNERS, LLC located in Newport Beach, California.

Alfred is registered as a RR (Registered Representative) and started their career in finance in 2005. Alfred has worked at 3 firms and has passed the Series 63, 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 Alfred Shopland 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

August 24, 2023 - Present

ROTH CAPITAL PARTNERS, LLC

Office #1: 888 San Clemente Suite 400, Newport Beach, CA 92660

RIA

CRD#: 15407

Newport Beach, CA

Past

December 23, 2020 - June 28, 2023

D. BORAL CAPITAL

CRD#: 103792

New York, NY

Past

March 8, 2005 - March 20, 2020

CANACCORD GENUITY LLC

CRD#: 1020

BOSTON, MA

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
(8/24/2023)

Massachusetts
(8/24/2023)

Exams

State Security Law Exam

Series 63

Date: 5/2/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 87

Date: 6/6/2005

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 7

Date: 3/7/2005

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/19/2022

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

ROTH CAPITAL PARTNERS, LLC

CRD#: 15407 / SEC#: , 8-32129

California

Registered Investment Advisory firm - SEC (5/7/2001 Approved)

Florida

Registered Investment Advisory firm - SEC (6/28/2024 Approved)

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

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Contact information

Main Address

888 San Clemente Suite 400, Newport Beach, CA 92660

Mailing Address

888 San Clemente Suite 400, Newport Beach, CA 92660

Phone number

(949) 720-5700

Established

California since 01/10/2001

Firm type

Limited Liability Company

Fiscal year end

June

Firm Size

Medium

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
CR FINANCIAL HOLDINGS, INC.	MEMBER
AKDENIZ, NAZAN	COO	2522215
GUREWITZ, AARON MICHAEL	CO-CHIEF EXECUTIVE OFFICER	2244273
LAMARCHE, KRISTIN DIANE	CHIEF COMPLIANCE OFFICER	2582393
MORK, JONATHAN ANDREW	MANAGER	4349125
PANAGIOTIDIS, ALEX	ROSFP	4582559
PLATT, RICHARD L	GENERAL COUNSEL	2059118
ROTH, BYRON CLARENCE	CHAIRMAN/MANAGER	1768553
ROTH, GORDON JAMES	CHIEF FINANCIAL OFFICER/FINOP/MANAGER	3167226
ROTH, THEODORE DAVID	VICE CHAIRMAN	4615931
SHETH, SAGAR ARVIND	CO-CHIEF EXECUTIVE OFFICER	5209865

Disclosures

Regulatory Event	16
Arbitration	12

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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Alfred S. Moore

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Alfred Shopland Moore's CRS (Customer Relationship Summary).

Certified licenses

Experience

D. BORAL CAPITAL

CANACCORD GENUITY LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/2/2005

SIE

Date: 10/1/2018

Series 87

Date: 6/6/2005

Series 7

Date: 3/7/2005

Series 24

Date: 5/19/2022

FINRA

Current Firm

ROTH CAPITAL PARTNERS, LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ROTH CAPITAL PARTNERS, LLC

TRUST BUT VERIFY

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