Paula C. Moore

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CRD#: 5996819

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.

Paula Carroll Moore, who also goes by Paula Marie Carroll, Paula C Moore, Paula Carroll O'shea, was a registered financial professional .

Paula is a previously registered financial professional and started their career in finance in 2011. Paula had worked at 2 firms .

Question & Answer

Are you a "fiduciary"?

Aliases

Paula Marie Carroll | Paula C Moore | Paula Carroll O'shea

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 7, 2016 - April 30, 2021

DOLAN CAPITAL ADVISORS, LLC

RIA

CRD#: 269886

DAVIDSON, NC

Past

November 8, 2011 - April 15, 2016

DAVIDSON CAPITAL

RIA

CRD#: 118725

DAVIDSON, NC

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".

DOLAN CAPITAL ADVISORS, LLC

DOLAN CAPITAL ADVISORS, INC. | DOLAN FAMILY, INC. | DOLAN CAPITAL ADVISORS, LLC

CRD#: 269886 / SEC#: 801-130232

RIA

Registered Investment Advisory firm - (5/9/2024 Approved)

North Carolina

Registered Investment Advisory firm - (5/29/2024 Terminated)

South Carolina

Registered Investment Advisory firm - (5/13/2024 Terminated)

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).

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

Current Firm

DOLAN CAPITAL ADVISORS, LLC

DOLAN CAPITAL ADVISORS, INC. | DOLAN FAMILY, INC. | DOLAN CAPITAL ADVISORS, LLC

CRD#: 269886 / SEC#: 801-130232

RIA

Registered Investment Advisory firm - (5/9/2024 Approved)

North Carolina

Registered Investment Advisory firm - (5/29/2024 Terminated)

South Carolina

Registered Investment Advisory firm - (5/13/2024 Terminated)

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Contact information

Main Address

15720 Brixham Hill Avenue Suite 300, Charlotte, NC 28277

Mailing Address

Phone number

(704) 887-4969

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DOLAN CAPITAL ADVISORS, INC. 2025 ANNUAL AMENDED BROCHURE (3/26/2025)

Regulatory assets under management

Total Number of Accounts	321
AUM (Assets Under Management)	$ 146,049,832

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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Paula C. Moore

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

DOLAN CAPITAL ADVISORS, LLC

DAVIDSON CAPITAL

Primary Firm SEC Registration

DOLAN CAPITAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Current Firm

DOLAN CAPITAL ADVISORS, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DOLAN CAPITAL ADVISORS, LLC

TRUST BUT VERIFY

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