Kevin M. Moore
Professional summary
Kevin Michael Moore is a registered financial advisor currently at NEW YORK LIFE INVESTMENT MANAGEMENT LLC located in Mystic, Connecticut and NYLIFE DISTRIBUTORS LLC located in New York, New York.
Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Kevin has worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Kevin Michael Moore's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 4, 2017 - Present
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
May 2, 2017 - Present
NYLIFE DISTRIBUTORS LLC
Office #1: 51 Madison Avenue, New York, NY 10010March 17, 2014 - February 28, 2017
GENEVA ADVISORS, LLC
March 7, 2014 - February 28, 2017
GNV ADVISORS, LLC
April 4, 2012 - March 7, 2014
NUVEEN ASSET MANAGEMENT, LLC
April 4, 2012 - March 7, 2014
NUVEEN SECURITIES, LLC
March 23, 2011 - May 2, 2012
BLUE PRAIRIE GROUP,LLC
February 23, 2011 - April 26, 2012
APW CAPITAL, INC.
August 15, 2008 - January 25, 2011
PAULSON INVESTMENT COMPANY LLC
Primary Firm SEC Registration
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
CRD#: 109591 / SEC#: 801-57396
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/28/2017)
(9/28/2017)
(9/28/2017)
(9/28/2017)
(9/28/2017)
(9/28/2017)
(9/28/2017)
(9/28/2017)
(9/28/2017)
(9/28/2017)
(9/28/2017)
(9/28/2017)
(9/28/2017)
(9/28/2017)
(9/28/2017)
(9/28/2017)
(9/28/2017)
(9/28/2017)
(9/28/2017)
(9/28/2017)
(9/28/2017)
(9/28/2017)
(9/28/2017)
(9/28/2017)
(9/28/2017)
(9/28/2017)
(9/28/2017)
(9/28/2017)
(9/28/2017)
(9/28/2017)
(5/4/2017)
(9/28/2017)
(9/28/2017)
(5/2/2017)
(9/28/2017)
(9/28/2017)
(9/28/2017)
(9/28/2017)
(9/28/2017)
(9/28/2017)
(6/30/2020)
(9/28/2017)
(9/28/2017)
(9/28/2017)
(9/28/2017)
(9/28/2017)
(9/28/2017)
(9/28/2017)
(9/28/2017)
(9/28/2017)
(9/28/2017)
(9/28/2017)
(9/28/2017)
Exams
FINRA
Current Firm
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
CRD#: 109591 / SEC#: 801-57396
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,047 |
| AUM (Assets Under Management) | $ 113,162,976,263 |
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.
