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Brandon A Moore

GFN CAPITAL MANAGEMENT
RICHARDSON, TX
·CRD# 5447752·18 years experience

Professional Summary

Brandon A Moore is a registered financial advisor currently at GFN CAPITAL MANAGEMENT located in Richardson, Texas and KOVACK SECURITIES INC. located in Richardson, Texas. Brandon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Brandon has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

At a Glance

Advisory Accounts Only

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

18 years in the financial services industry

Current & Past Employments

GFN CAPITAL MANAGEMENT·CRD# 139403
RIA
300 N. Coit Road, Suite 1300, Richardson, TX 75080
June 15, 2009 - Present
KOVACK SECURITIES INC.·CRD# 44848
BD
300 N. Coit Road Suite 1300, Richardson, TX 75080
November 18, 2008 - Present

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Current Firm

GC
GFN CAPITAL MANAGEMENT

GFN CAPITAL MANAGEMENT | GLAZER CAPITAL MANAGEMENT, LLC | GLAZER CAPITAL

CRD#: 139403 / SEC#: 801-136197
RIA
Registered Investment Advisory firm - SEC (7/8/2026 Approved)
Arkansas
Registered Investment Advisory firm - Arkansas (11/9/2011 Terminated)
Texas
Registered Investment Advisory firm - Texas (5/30/2006 Approved)
Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Contact Information

Main Address

300 N. Coit Road, Suite 1300, Richardson, TX 75080

Phone Number

(972) 385-0007

# of Employees

5

SEC notice filing (1 States and Territories)

Registered to provide investment advisory services in 1 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

GFN CAPITAL MANAGEMENT WRAP BROCHURE (4/3/2026)

Regulatory Assets Under Management

Total Number of Accounts

384

AUM (Assets Under Management)

$120,053,264

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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) DBA: GLAZER FINANCIAL NETWORK - 300 N. COIT ROAD, SUITE 1300, RICHARDSON, TX 75080, MAIN COMPANY FOR MARKETING, SALES ,COLLECTS FEES FOR ACCOUNTING AND PENSION, SALES, 50% OF TIME SPENT. 2) GLAZER CAPITAL MANAGEMENT DBA GFN CAPITAL MANAGEMENT - 300 N. COIT ROAD, SUITE 1300, RICHARDSON, TX 75080, MARKETS & COLLECTS FEES FOR RIA BUSINESS, INVESTMENT ADVISOR REPRESENTATIVE,SALES, 35% OF TIME SPENT. 3) THE PENSION SPECIALISTS, INC. - A DIVISION OF GLAZER FINANCIAL NETWORK, SALES, MARKETS FOR PENSION ADMINISTRATION, 10% OF TIME SPENT, COMPENSATED THROUGH MLW FINANCIAL. 4) MLW FINANCIAL, INC. - 3501 TRINITY LANE PLANO, TX 75075, COLLECT FEES, NO MARKETING OR SALES, LESS THAN 1% OF TIME SPENT. 5) BAM FINANCIAL, INC. - 300 N. COIT ROAD, SUITE 1300, RICHARDSON, TX 75080, OFFICER OF CORPORATION, CORPORATION SET UP FOR TAX PURPOSES AND ASSET PROTECTION, 1% OF TIME SPENT. 6) QAZ FINANCIAL, LLC - 300 N. COIT ROAD, SUITE 1300, RICHARDSON, TX 75080, BAM FINANCIAL, INC. IS A MEMBER, SET UP FOR ASSET PROTECTION AND INCOME FLOW THROUGH, 1% OF TIME SPENT. 7) DOCTORS RESOURCE SERVICE - 300 N. COIT ROAD, SUITE 1300, RICHARDSON, TX 75080; IT IS A DBA OF GLAZER FINANCIAL NETWORK FOR MARKETING TO PHYSICIANS; INVESTMENT RELATED; SALESMAN; SALES; 1% OF TIME SPENT 8) FIXED INSURANCE - 300 N. COIT ROAD, SUITE 1300, RICHARDSON, TX 75080; SALES AGENT; SELLING FIXED INSURANCE; NON INVESTMENT-RELATED ACTIVTY; 5% OF TIME SPENT ON ACTIVITY 9) GRASSROOTS US SOCCER REFEREE - 9136 LIBERTY CROSSING DRIVE, DALLAS, TX; NON-INVESTMENT RELATED; YOUTH SOCCER REFEREE; REFEREE; 5% OF TIME SPENT.

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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".
GC
GFN CAPITAL MANAGEMENT

GFN CAPITAL MANAGEMENT | GLAZER CAPITAL MANAGEMENT, LLC | GLAZER CAPITAL

CRD#: 139403 / SEC#: 801-136197
RIA
Registered Investment Advisory firm - SEC (7/8/2026 Approved)
Arkansas
Registered Investment Advisory firm - Arkansas (11/9/2011 Terminated)
Texas
Registered Investment Advisory firm - Texas (5/30/2006 Approved)
Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
California
(3/1/2017)
RR
Colorado
(3/11/2021)
RR
Oklahoma
(3/1/2017)
RR
Texas
(12/9/2008)
IAR
Texas
(6/15/2009)

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.Note:This rule does not apply to broker-dealer activity.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Dec 2008About the Series 66 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Nov 2008About the Series 7 exam
FINRA
SRO Registrations
Nasdaq Stock Market
SRO Registrations

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CRS (Client Relationship Summary) - RIA

Click below to view Brandon A Moore's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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