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TM

Timothy B. Moy

AVENTURA CAPITAL MANAGEMENT
Boca Raton, FL 33431
Some features on this profile are disabled
CRD#: 5281548
TM

Professional summary

Timothy Brian Moy is a registered financial advisor currently at AVENTURA CAPITAL MANAGEMENT, LLC located in Boca Raton, Florida and AVENTURA SECURITIES, LLC located in Boca Raton, Florida.

Timothy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Timothy has worked at 2 firms and has passed the Series 66, Series 99TO, SIE, Series 7 and Series 4 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

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.
FlexMark Strategic Partners, LLC (Investment Related), Co-Portfolio Manager, May 2018, 15 Hours a week based in Aventura Florida.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Timothy Brian Moy'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

November 14, 2007 - Present

AVENTURA CAPITAL MANAGEMENT, LLC

Office #1: 5550 Glades Road Suite 535, Boca Raton, FL 33431
RIA
CRD#: 142478
Boca Raton, FL
Current

June 26, 2007 - Present

AVENTURA SECURITIES, LLC

Office #1: 5550 Glades Road Suite 535, Boca Raton, FL 33431
BD
CRD#: 142374
Boca Raton, FL
Past

November 14, 2007 - December 31, 2010

AVENTURA CAPITAL MANAGEMENT, LLC

RIA
CRD#: 142478
AVENTURA, FL

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".
AC
AVENTURA CAPITAL MANAGEMENT, LLC
AVENTURA CAPITAL MANAGEMENT, LLC

CRD#: 142478 / SEC#: 801-67322

RIA
Registered Investment Advisory firm - (11/29/2006 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
RR
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

RR
Arkansas
(12/4/2019)
RR
Florida
(6/26/2007)
IAR
Florida
(11/14/2007)
IAR
Hawaii
(11/28/2017)
RR
Illinois
(1/2/2008)
IAR
Illinois
(1/5/2011)
RR
Indiana
(10/11/2022)
IAR
Maryland
(1/6/2011)
RR
Maryland
(1/25/2011)
RR
New Hampshire
(2/25/2010)
RR
New Jersey
(6/16/2020)
RR
New York
(4/5/2011)
RR
Pennsylvania
(1/6/2015)
IAR
Pennsylvania
(5/4/2016)
RR
Virginia
(3/19/2009)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/9/2007
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/25/2007
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 11/5/2010
Registered Options Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AC
AVENTURA CAPITAL MANAGEMENT, LLC
AVENTURA CAPITAL MANAGEMENT, LLC

CRD#: 142478 / SEC#: 801-67322

RIA
Registered Investment Advisory firm - (11/29/2006 Approved)
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Contact information

Main Address
5550 Glades Road Suite 535, Boca Raton, FL 33431
Mailing Address
Phone number
(305) 466-0467
Established
Firm type
Fiscal year end
# of Employees
4

SEC notice filing (16 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

GENERAL 2014.09 (4/1/2025)

Regulatory assets under management

Total Number of Accounts248
AUM (Assets Under Management)$ 57,829,202

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.

Company Information

AVENTURA CAPITAL MANAGEMENT, LLC

CRD#: 142478Boca Raton, FL 33431

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