Nicholas S. Moore

TRINITY FINANCIAL PLANNING

Middleton, WI 53562

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CRD#: 5962681

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.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Nicholas S Moore | Nicholas Scott Moore | Nick Scott 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Scott 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®

CFP^®

Certified Financial Planner

Start date: 2022

Experience

Current

February 1, 2021 - Present

TRINITY FINANCIAL PLANNING

Office #1: 6405 Century Ave #104, Middleton, WI 53562

RIA

CRD#: 115924

Middleton, WI

Past

April 18, 2017 - February 10, 2021

SECURIAN FINANCIAL SERVICES, INC.

RIA

CRD#: 15296

MADISON, WI

Past

April 18, 2017 - February 10, 2021

CRI SECURITIES, LLC

RIA

CRD#: 22589

MADISON, WI

Past

January 16, 2017 - February 10, 2021

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

MADISON, WI

Past

January 16, 2017 - February 10, 2021

CRI SECURITIES, LLC

CRD#: 22589

MADISON, WI

Past

October 3, 2016 - December 2, 2016

EDWARD JONES

RIA

CRD#: 250

MADISON, WI

Past

October 3, 2016 - December 2, 2016

EDWARD JONES

CRD#: 250

MADISON, WI

Past

December 26, 2014 - October 10, 2016

LPL FINANCIAL LLC

RIA

CRD#: 6413

MADISON, WI

Past

March 11, 2014 - October 10, 2016

LPL FINANCIAL LLC

CRD#: 6413

MADISON, WI

Past

August 16, 2011 - July 2, 2012

DIRECTED SERVICES LLC

CRD#: 21675

DES MOINES, IA

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

Wisconsin
(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

State Security Law Exam

IAR

Series 66

Date: 12/24/2014

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/11/2014

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/15/2011

Investment Company Products/Variable Contracts Representative Examination

Current Firm

TRINITY FINANCIAL PLANNING

SCHERER, JOHN MICHAEL | TRINITY FINANCIAL PLANNING, LLC | TRINITY FINANCIAL PLANNING

CRD#: 115924 / SEC#:

Minnesota

Registered Investment Advisory firm - (3/9/2018 Terminated)

Texas

Registered Investment Advisory firm - (3/21/2022 Conditional Restricted)

Wisconsin

Registered Investment Advisory firm - (11/8/2001 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

6405 Century Ave #104, Middleton, WI 53562

Mailing Address

Phone number

(608) 999-4049

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	293
AUM (Assets Under Management)	$ 92,614,080

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 S. Moore

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Scott Moore's CRS (Customer Relationship Summary).

Certified licenses

Experience

SECURIAN FINANCIAL SERVICES, INC.

CRI SECURITIES, LLC

SECURIAN FINANCIAL SERVICES, INC.

CRI SECURITIES, LLC

EDWARD JONES

EDWARD JONES

LPL FINANCIAL LLC

LPL FINANCIAL LLC

DIRECTED SERVICES LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/24/2014

SIE

Date: 10/1/2018

Series 7

Date: 3/11/2014

Series 6

Date: 8/15/2011

Current Firm

TRINITY FINANCIAL PLANNING

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

TRINITY FINANCIAL PLANNING

TRUST BUT VERIFY

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