Christopher M. Moore
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Christopher Michael Moore, CFP®, who also goes by Christopher Moore, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 2010. Christopher had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2015
Experience
June 16, 2015 - April 24, 2019
PEAK INVESTMENTS
November 6, 2013 - June 12, 2015
J.P. MORGAN SECURITIES LLC
November 6, 2013 - June 12, 2015
J.P. MORGAN SECURITIES LLC
November 21, 2011 - November 18, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 21, 2011 - November 18, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 14, 2011 - November 9, 2011
USAA FINANCIAL PLANNING SERVICES
March 8, 2011 - November 9, 2011
USAA FINANCIAL ADVISORS, INC.
June 24, 2010 - February 28, 2011
MORGAN STANLEY
June 7, 2010 - February 28, 2011
MORGAN STANLEY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
PEAK INVESTMENTS
CRD#: 115632 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 6 |
| AUM (Assets Under Management) | $ 5,300,000 |
Red Flags
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