Thomas M. Moore

ALLEN & COMPANY LLC

New York, NY 10022

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CRD#: 6046204

Professional summary

Thomas Michael Moore, who also goes by Thomas Michael Moore, Tom Moore, Tommy Moore, Thomas M Moore, Thomas Moore, is a registered financial professional currently at ALLEN & COMPANY LLC located in New York, New York.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 2012. Thomas has worked at 4 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Thomas Michael Moore | Tom Moore | Tommy Moore | Thomas M Moore | Thomas 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) - BD

Click below to view Thomas Michael Moore's CRS (Customer Relationship Summary).

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®

None

Experience

Current

January 24, 2022 - Present

ALLEN & COMPANY LLC

Office #1: 711 Fifth Avenue, New York, NY 10022

CRD#: 1042

New York, NY

Past

May 3, 2017 - January 11, 2022

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

January 30, 2015 - July 10, 2015

CAPITAL ONE INVESTING, LLC

CRD#: 45744

MELVILLE, NY

Past

April 5, 2012 - January 30, 2015

CAPITAL ONE INVESTMENT SERVICES LLC

CRD#: 25658

MELVILLE, NY

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

New York
(1/24/2022)

Exams

State Security Law Exam

Series 63

Date: 3/11/2013

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 9/20/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/4/2012

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/12/2022

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange LLC

SRO Registrations

Nasdaq Stock Market

Current Firm

ALLEN & COMPANY LLC

ALLEN & COMPANY INCORPORATED | ALLEN & COMPANY LLC

CRD#: 1042 / SEC#: , 8-12123

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

711 Fifth Avenue, New York, NY 10022

Mailing Address

711 Fifth Avenue, New York, NY 10022

Phone number

(212) 832-8000

Established

New York since 08/03/2001

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
ALLEN OPERATIONS LLC	PARENT COMPANY
ALLEN, HERBERT, III ANTHONY	MANAGING DIRECTOR & PRESIDENT	1532662
DIIORIO, PETER	GENERAL COUNSEL	5309583
GOLINSKY, JODI	CHIEF COMPLIANCE OFFICER AND DEPUTY GENERAL COUNSEL	7671190
MOORE, THOMAS MICHAEL	VICE PRESIDENT - OPERATIONS (CHIEF OPERATIONS OFFICER)	6046204
VAHABZADEH, SALIMA	MANAGING DIRECTOR, CHIEF FINANCIAL OFFICER, FINANCIAL OPERATIONS PRINCIPAL	3093372

Disclosures

Regulatory Event

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

Thomas M. Moore

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas Michael Moore's CRS (Customer Relationship Summary).

Certified licenses

Experience

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CAPITAL ONE INVESTING, LLC

CAPITAL ONE INVESTMENT SERVICES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/11/2013

Series 99TO

Date: 9/20/2023

SIE

Date: 10/1/2018

Series 7

Date: 4/4/2012

Series 24

Date: 5/12/2022

FINRA

Investors' Exchange LLC

Nasdaq Stock Market

Current Firm

ALLEN & COMPANY LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ALLEN & COMPANY LLC

TRUST BUT VERIFY

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