CM
Cayla J. Moore
RM FINANCIAL SERVICES
Falmouth, ME 04105
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CRD#: 6391366
CM
Professional summary
Cayla Jane Moore is a registered financial advisor currently at RM FINANCIAL SERVICES, LLC located in Falmouth, Maine and PURSHE KAPLAN STERLING INVESTMENTS located in Albany, New York.
Cayla is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Cayla has worked at 3 firms and has passed the Series 66, Series 7TO and SIE 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) RM FINANCIAL SERVICES, LLC POSITION: Employee NATURE: Independent Registered Investment Adviser INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 80 START DATE: 10/01/2019 ADDRESS: 362 US Route One, Falmouth ME 04105, United States DESCRIPTION: Administrative and Operational. 2) STONE BAR, INC. POSITION: Treasurer NATURE: Restaurant INVESTMENT RELATED: No NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2021 ADDRESS: Business Route 209, Snydersville, PA, United States DESCRIPTION: Treasurer 3) SNYDERSVILLE CORP POSITION: Treasurer NATURE: Real Estate Holding Company INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2021 ADDRESS: Business Route 209, Snydersville, PA, United States DESCRIPTION: Treasurer 4) PKSF. Investment Related - Yes. At registered location. Fixed Insurance/ Annuity. Agent. 10/18/2023. 0 Hrs. 0 hrs. Provide insurance advice to base on the needs of client(s).
CRS (Client Relationship Summary) - RIA
Click below to view Cayla Jane 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
March 6, 2023 - Present
RM FINANCIAL SERVICES, LLC
Office #1: 362 Us Route One, Falmouth, ME 04105RIA
CRD#: 304297
Falmouth, ME
Current
October 20, 2023 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 80 State Street, Albany, NY 12207Office #2: 362 Us Route One, Falmouth, ME 04105BD
CRD#: 35747
ALBANY, NY
Past
September 28, 2020 - October 20, 2023
NEXT FINANCIAL GROUP, INC.
RIA
CRD#: 46214
FALMOUTH, ME
Past
May 22, 2020 - October 18, 2023
NEXT FINANCIAL GROUP, INC.
BD
CRD#: 46214
FALMOUTH, ME
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".
RF
RM FINANCIAL SERVICES, LLC
RM FINANCIAL SERVICES, LLC
CRD#: 304297 / SEC#: 801-120468
RIA
Registered Investment Advisory firm - (3/8/2021 Approved)Maine
Registered Investment Advisory firm - (3/30/2021 Terminated)New Hampshire
Registered Investment Advisory firm - (4/14/2021 Terminated)Virginia
Registered Investment Advisory firm - (3/24/2021 Terminated)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
IAR
Maine(3/6/2023)
RR
Maine(10/23/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 5/22/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
RF
RM FINANCIAL SERVICES, LLC
RM FINANCIAL SERVICES, LLC
CRD#: 304297 / SEC#: 801-120468
RIA
Registered Investment Advisory firm - (3/8/2021 Approved)Maine
Registered Investment Advisory firm - (3/30/2021 Terminated)New Hampshire
Registered Investment Advisory firm - (4/14/2021 Terminated)Virginia
Registered Investment Advisory firm - (3/24/2021 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
362 Us Route One, Falmouth, ME 04105
Mailing Address
Phone number
(207) 781-7637
Established
Firm type
Fiscal year end
# of Employees
5
SEC notice filing (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 993 |
| AUM (Assets Under Management) | $ 221,081,455 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
RM FINANCIAL SERVICES, LLC
CRD#: 304297Falmouth, ME 04105TRUST BUT VERIFY
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