Nicholas Scott Moore
CFP®Professional Summary
Nicholas Scott Moore, CFP®, who also goes by Nicholas S Moore, Nicholas Scott Moore, Nick Scott Moore, is a registered financial advisor currently at TRINITY FINANCIAL PLANNING located in Middleton, Wisconsin. Nicholas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Nicholas has worked at 6 firms and has passed the Series 66, SIE, Series 7 and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Nicholas S Moore, Nicholas Scott Moore, Nick Scott Moore
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Videos & Posts
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Contact Information
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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.
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Credentials
Years of Experience
15 years in the financial services industry
Current & Past Employments
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Current Firm
SCHERER, JOHN MICHAEL | TRINITY FINANCIAL PLANNING, LLC | TRINITY FINANCIAL PLANNING
Contact Information
Main Address
6405 Century Ave #104, Middleton, WI 53562Phone Number
(608) 999-4049# of Employees
3Documents
Regulatory Assets Under Management
Total Number of Accounts
277AUM (Assets Under Management)
$102,875,290Similar Advisors
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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.
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State Registrations and Notice Filings
(2/1/2021)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Aug 2011About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Nicholas Scott Moore's CRS (Customer Relationship Summary).
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