David E. Moore
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.
David Evans Moore, who also goes by David Moore, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2005. David had worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 14, 2018 - January 10, 2025
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 10, 2018 - January 10, 2025
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 16, 2013 - September 4, 2018
LPL FINANCIAL LLC
September 16, 2013 - September 4, 2018
LPL FINANCIAL LLC
November 6, 2012 - September 9, 2013
CUE FINANCIAL GROUP, INC.
December 15, 2010 - September 9, 2013
FOOTHILL SECURITIES, INC.
October 12, 2010 - December 16, 2010
OSAIC INSTITUTIONS, INC.
October 8, 2010 - December 16, 2010
OSAIC INSTITUTIONS, INC.
June 18, 2008 - October 12, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
June 17, 2008 - October 12, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
June 20, 2005 - January 14, 2008
UBS FINANCIAL SERVICES INC.
June 6, 2005 - January 14, 2008
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
