JM
John P. Moore
HARPSWELL CAPITAL ADVISORS
NEW GLOUCESTER, ME 04260
Some features on this profile are disabled
CRD#: 5486450
JM
Professional summary
John Patrick Moore, who also goes by Jack Moore, is a registered financial advisor currently at HARPSWELL CAPITAL ADVISORS, LLC located in New Gloucester, Maine.
John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. John has worked at 1 firm .
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jack Moore
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.
NAME OF BUSINESS: THE GELATO FIASCO
INVESTMENT-RELATED: NO
ADDRESS: 74 MAINE ST., BRUNSWICK, ME 04011
NATURE OF BUSINESS: RETAIL SALES
START DATE: 12/2012
HOURS PER MONTH: 1
HOURS DURING SECURITIES TRADING HOURS: 1/2
DUTIES: PROVIDE ADVICE ADVICE REGARDING FINANCIAL NEEDS OF THE BUSINESS
CIVIC VOLUNTEERING:
Good Will Hinckley - Trustee - 1/2 hour/month (2013)
16 Prescott Dr, Hinckley, ME 04944
Portland Museum of Art - Trustee 1 hour/ month (2012)
7 Congress Square, Portland, ME 04101
US Biathlon - Trustee 1/2 hour / month (2013) 49 Pineland Drive, New Gloucester, ME 04260
North Yarmouth Academy - Trustee 1 1/2 hour/month (2016)148 Main St, Yarmouth, ME 04096
Maine Health - Investment Committee 1 hour/ month (2011)
110 Free St, Portland, ME 04101
U Maine system - Investment Committee 1 hour/ month(2010)
16 Central Street Bangor, ME 04401-5106
CRS (Client Relationship Summary) - RIA
Click below to view John Patrick 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®
NoneExperience
Current
March 31, 2014 - Present
HARPSWELL CAPITAL ADVISORS, LLC
Office #1: 41 Campus Drive Suite 203, New Gloucester, ME 04260RIA
CRD#: 168996
NEW GLOUCESTER, ME
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".
HC
HARPSWELL CAPITAL ADVISORS, LLC
HARPSWELL CAPITAL ADVISORS, LLC
CRD#: 168996 / SEC#: 801-110825
RIA
Registered Investment Advisory firm - (7/17/2017 Approved)Maine
Registered Investment Advisory firm - (7/25/2017 Terminated)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.Highlighted states indicate IAR registrations
IAR
Maine(3/31/2014)
Exams
Current Firm
HC
HARPSWELL CAPITAL ADVISORS, LLC
HARPSWELL CAPITAL ADVISORS, LLC
CRD#: 168996 / SEC#: 801-110825
RIA
Registered Investment Advisory firm - (7/17/2017 Approved)Maine
Registered Investment Advisory firm - (7/25/2017 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
500 Us Route 1 Suite 203, Yarmouth, ME 04096
Mailing Address
Phone number
(207) 926-1380
Established
Firm type
Fiscal year end
# of Employees
6
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 64 |
| AUM (Assets Under Management) | $ 497,419,486 |
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
HARPSWELL CAPITAL ADVISORS, LLC
CRD#: 168996New Gloucester, ME 04260TRUST BUT VERIFY
Monitor John Moore
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
