Thomas Scott Moore
Professional Summary
Thomas Scott Moore, who also goes by Thomas Moore, is a registered financial advisor currently at STONEX FINANCIAL INC. located in Winter Park, Florida. Thomas is registered as a RR (Registered Representative) and started their career in finance in 2010. Thomas has worked at 1 firm and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 3, Series 55, Series 7, Series 30 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Thomas Moore
Similar Advisors
STIFEL, NICOLAUS & COMPANY, INCORPORATED
AMERIPRISE FINANCIAL SERVICES, LLC
J.P. MORGAN SECURITIES LLC
PFS INVESTMENTS INC.
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
STIFEL, NICOLAUS & COMPANY, INCORPORATED
AMERIPRISE FINANCIAL SERVICES, LLC
J.P. MORGAN SECURITIES LLC
PFS INVESTMENTS INC.
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
STIFEL, NICOLAUS & COMPANY, INCORPORATED
AMERIPRISE FINANCIAL SERVICES, LLC
J.P. MORGAN SECURITIES LLC
PFS INVESTMENTS INC.
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.
Similar Advisors
STIFEL, NICOLAUS & COMPANY, INCORPORATED
AMERIPRISE FINANCIAL SERVICES, LLC
J.P. MORGAN SECURITIES LLC
PFS INVESTMENTS INC.
Years of Experience
16 years in the financial services industry
Current & Past Employments
Similar Advisors
STIFEL, NICOLAUS & COMPANY, INCORPORATED
AMERIPRISE FINANCIAL SERVICES, LLC
J.P. MORGAN SECURITIES LLC
PFS INVESTMENTS INC.
Current Firm
INTERNATIONAL TRADER ASSOCIATION, INC. | STONEX FINANCIAL INC. | STONEX | INTLTRADER.COM, INC. | INTL TRADING, INC. | INTL FCSTONE SECURITIES INC. | INTL FCSTONE FINANCIAL INC.
Contact Information
Main Address
329 Park Avenue North Suite 350, Winter Park, FL 32789Mailing Address
329 Park Avenue North Suite 350, Winter Park, FL 32789Phone Number
(407) 741-5300Established
Florida since 05/29/1998Firm Type
CorporationFiscal Year End
SeptemberFirm Size
LargeFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STONEX GROUP INC. | OWNER | — |
| DAVISON, STUART ANDREW | DIRECTOR; CHIEF OPERATING OFFICER | 7824576 |
| DICIOLLO, ANTHONY JOSEPH | DIRECTOR, CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD | 4976402 |
| DUNAWAY, WILLIAM JOHN | DIRECTOR, CHIEF FINANCIAL OFFICER | 6505923 |
| LYON, CHARLES MARTIN | DIRECTOR, PRESIDENT | 4000852 |
| MAURER, MARK L | DIRECTOR, CHIEF RISK OFFICER | 4234406 |
| PORZIO, JOSEPH JOHN | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 1319702 |
| SHEA, KEVIN | SECRETARY | 8263627 |
| SMITH, PHILIP ANDREW | DIRECTOR | 4999097 |
| SZEKELY, GIGI KLARA | CHIEF COMPLIANCE OFFICER - BD DIVISION | 2530826 |
Disclosures
Regulatory Event
76Similar Advisors
STIFEL, NICOLAUS & COMPANY, INCORPORATED
AMERIPRISE FINANCIAL SERVICES, LLC
J.P. MORGAN SECURITIES LLC
PFS INVESTMENTS INC.
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.
Similar Advisors
STIFEL, NICOLAUS & COMPANY, INCORPORATED
AMERIPRISE FINANCIAL SERVICES, LLC
J.P. MORGAN SECURITIES LLC
PFS INVESTMENTS INC.
State Registrations and Notice Filings
(6/1/2020)
(6/1/2020)
(6/1/2020)
(6/1/2020)
(7/17/2019)
(6/1/2020)
(7/17/2019)
(7/17/2019)
(6/1/2020)
(10/29/2010)
(6/1/2020)
(6/1/2020)
(6/1/2020)
(7/17/2019)
(6/1/2020)
(6/1/2020)
(6/1/2020)
(6/1/2020)
(6/1/2020)
(6/1/2020)
(7/17/2019)
(7/17/2019)
(6/1/2020)
(6/1/2020)
(6/1/2020)
(6/1/2020)
(6/1/2020)
(6/1/2020)
(6/1/2020)
(6/1/2020)
(8/23/2019)
(6/1/2020)
(4/29/2015)
(6/1/2020)
(6/1/2020)
(6/1/2020)
(6/1/2020)
(6/1/2020)
(7/17/2019)
(6/1/2020)
(6/1/2020)
(6/1/2020)
(6/1/2020)
(8/23/2019)
(6/1/2020)
(6/1/2020)
(6/1/2020)
(6/1/2020)
(6/1/2020)
(6/1/2020)
(6/1/2020)
(6/1/2020)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Jan 2011SRO Registrations
SRO Registrations
Similar Advisors
STIFEL, NICOLAUS & COMPANY, INCORPORATED
AMERIPRISE FINANCIAL SERVICES, LLC
J.P. MORGAN SECURITIES LLC
PFS INVESTMENTS INC.
CRS (Client Relationship Summary) - BD
Click below to view Thomas Scott Moore's CRS (Customer Relationship Summary).
Similar Advisors
STIFEL, NICOLAUS & COMPANY, INCORPORATED
AMERIPRISE FINANCIAL SERVICES, LLC
J.P. MORGAN SECURITIES LLC
PFS INVESTMENTS INC.
