AM
Ashley J. Moore
LPL ENTERPRISE
Washburn,, WI
Some features on this profile are disabled
CRD#: 6098457
AM
Professional summary
Ashley Joyce Moore is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Washburn,, Wisconsin.
Ashley is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Ashley has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1) 09/11/2024- 100 WHO CARE ASHLAND & BAYFIELD COUNTIES- Non-Profit Board Member- Event Coordination - With simple concept of a giving circle. 100 members who come together, pool their dollars and decide together where to give the money.- not inv. - at Ashland, WI -start date 07/25/2022- 6hrs/mnth-4hrs during trading 2) 09/11/2024- CheqYes- Non-Profit Board Member- Developing team atmosphere and encouraging participation from young professionals in the community.- not inv. related- at Ashland, WI- start date 06/15/2018-2hrs/mnth-2hrs during trading 3) 09/11/2024- LeClair- Non-Variable Insurance- I sell Medicare Supplements for clients in the state of WI.- inv. related- at Saint Paul, MN- start date 08/28/2023-4hrs/mnth-4hrs during trading 4) 09/11/2024- Rita E Moore Trust and Estate- Act in a Fiduciary Capacity- Act in a Fiduciary Capacity for Immediate Family- not inv. related- at Ashland, WI- start date 04/11/2024- 10hrs/mnth-6hrs during trading 5) 09/11/2024- NORTHWEST WISCONSIN WORKFORCE INVESTMENT BOARD- Non-Profit Board Member- Attend meetings vote and assess the needs of community.- not inv. related- at Ashland, WI- start date 01/01/2016- 3hrs/mnth-3hrs during trading
CRS (Client Relationship Summary) - RIA
Click below to view Ashley Joyce Moore's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Ashley Joyce 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®
NoneExperience
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #2: 216 3rd Street West Suite 102, Ashland, WI 54806RIA
BD
CRD#: 8733
Washburn,, WI
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 216 3rd Street West Suite 102, Ashland, WI 54806RIA
BD
CRD#: 8733
ASHLAND, WI
Past
August 15, 2023 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
ASHLAND, WI
Past
August 15, 2023 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
ASHLAND, WI
Past
April 26, 2013 - August 16, 2023
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
CRD#: 18387
Washburn, WI
Past
April 5, 2013 - August 16, 2023
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
Washburn, WI
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".
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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.RR
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
RR
Michigan(11/14/2024)
RR
Minnesota(11/14/2024)
RR
Montana(12/13/2024)
RR
Wisconsin(11/14/2024)
IAR
Wisconsin(11/14/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
1055 Lpl Way, Fort Mill, SC 29715
Mailing Address
1055 Lpl Way, Fort Mill, SC 29715
Phone number
(704) 733-3300
Established
Delaware since 05/25/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
4,650
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| HORAN-ADAMS, KIRBY LEPAK | CHIEF EXECUTIVE OFFICER. PRESIDENT | 5097259 |
| MALFITANO, STEVEN THOMAS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP | 3178848 |
| MORRISON, STEVEN PHILIP | SECRETARY | 4529345 |
| SHEEHAN, RICHARD STEVEN | SVP, CHIEF COMPLIANCE OFFICER | 3096567 |
Regulatory assets under management
| Total Number of Accounts | 114,002 |
| AUM (Assets Under Management) | $ 18,862,098,900 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 |
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.
