Nicholas H. Moore

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CRD#: 5891116

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.

Nicholas Helms Moore was a registered financial professional .

Nicholas is a previously registered financial professional and started their career in finance in 2011. Nicholas had worked at 5 firms and has passed the Series 66, Series 63, Series 7TO, Series 6TO, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 18, 2023 - June 10, 2024

ENVESTNET PMC

RIA

CRD#: 111694

SUPERIOR, CO

Past

May 14, 2020 - January 4, 2022

PRINCIPAL SECURITIES, INC.

RIA

CRD#: 1137

DENVER, CO

Past

May 13, 2020 - January 4, 2022

PRINCIPAL SECURITIES, INC.

CRD#: 1137

DENVER, CO

Past

November 26, 2018 - May 8, 2020

ROBUSTWEALTH, INC.

RIA

CRD#: 269919

Denver, CO

Past

June 8, 2015 - October 29, 2018

JANNEY MONTGOMERY SCOTT LLC

RIA

CRD#: 463

PHILADELPHIA, PA

Past

February 11, 2013 - October 29, 2018

JANNEY MONTGOMERY SCOTT LLC

CRD#: 463

PHILADELPHIA, PA

Past

September 2, 2011 - September 4, 2012

T. ROWE PRICE INVESTMENT SERVICES, INC.

CRD#: 8348

OWINGS MILLS, MD

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".

ENVESTNET PMC

CRD#: 111694 / SEC#: 801-57260

RIA

Registered Investment Advisory firm - (2/10/2000 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/8/2015

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/29/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 3/14/2024

General Securities Representative Examination

General Industry/Product Exam

Series 6TO

Date: 3/14/2024

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/14/2013

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/1/2011

Investment Company Products/Variable Contracts Representative Examination

Current Firm

ENVESTNET PMC

CRD#: 111694 / SEC#: 801-57260

RIA

Registered Investment Advisory firm - (2/10/2000 Approved)

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Contact information

Main Address

222 N. Lasalle St., Suite 625, Chicago, IL 60601

Mailing Address

1000 Chesterbrook Boulevard, Suite 250, Berwyn, PA 19312

Phone number

(312) 827-2800

Established

Firm type

Fiscal year end

# of Employees

394

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ENVESTNET ASSET MANAGEMENT ADV PART 2A (11/19/2025)

ENVESTNET ASSET MANAGEMENT ADV PART 2 APPENDIX 1 (11/19/2025)

ENVESTNET PRIVACY POLICY (3/31/2025)

Regulatory assets under management

Total Number of Accounts	2,021,610
AUM (Assets Under Management)	$ 532,197,263,852

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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Advisor Monitoring

Firm Stability Insights

Nicholas H. Moore

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

ROBUSTWEALTH, INC.

JANNEY MONTGOMERY SCOTT LLC

JANNEY MONTGOMERY SCOTT LLC

T. ROWE PRICE INVESTMENT SERVICES, INC.

Primary Firm SEC Registration

ENVESTNET PMC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/8/2015

Series 63

Date: 11/29/2011

Series 7TO

Date: 3/14/2024

Series 6TO

Date: 3/14/2024

SIE

Date: 10/1/2018

Series 7

Date: 6/14/2013

Series 6

Date: 9/1/2011

Current Firm

ENVESTNET PMC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ENVESTNET PMC

TRUST BUT VERIFY

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