Brandon A. Moore

GFN CAPITAL MANAGEMENT

RICHARDSON, TX 75080

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CRD#: 5447752

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.

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brandon A Moore's 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

June 15, 2009 - Present

GFN CAPITAL MANAGEMENT

Office #1: 300 N. Coit Road, Suite 1300, Richardson, TX 75080

RIA

CRD#: 139403

RICHARDSON, TX

Current

November 18, 2008 - Present

KOVACK SECURITIES INC.

Office #1: 300 N. Coit Road Suite 1300, Richardson, TX 75080

CRD#: 44848

Richardson, TX

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.

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
(3/1/2017)

Colorado
(3/11/2021)

Oklahoma
(3/1/2017)

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

State Security Law Exam

IAR

Series 66

Date: 12/8/2008

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/17/2008

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

GFN CAPITAL MANAGEMENT

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

CRD#: 139403 / SEC#:

Arkansas

Registered Investment Advisory firm - (11/9/2011 Terminated)

Texas

Registered Investment Advisory firm - (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).

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Contact information

Main Address

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

Mailing Address

Phone number

(972) 385-0007

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	367
AUM (Assets Under Management)	$ 107,075,931

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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Brandon A. Moore

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

GFN CAPITAL MANAGEMENT

KOVACK SECURITIES INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 12/8/2008

SIE

Date: 10/1/2018

Series 7

Date: 11/17/2008

FINRA

Nasdaq Stock Market

Current Firm

GFN CAPITAL MANAGEMENT

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

GFN CAPITAL MANAGEMENT

TRUST BUT VERIFY

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