HM
Harrison C. Moore
ROGAN & ASSOCIATES
Safety Harbor, FL 34695
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CRD#: 6520754
HM
Professional summary
Harrison Clark Moore, who also goes by Harrison C Moore, Harrison C. Moore, is a registered financial advisor currently at ROGAN & ASSOCIATES, INC. located in Safety Harbor, Florida and J.W. COLE FINANCIAL, INC. located in Safety Harbor, Florida.
Harrison is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Harrison has worked at 5 firms and has passed the Series 65, Series 63, Series 7TO and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Harrison C Moore | Harrison C. 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.
(1) Rogan & Associates, RIA; DBA; Investment investment related; 200 9th Ave N, Suite 100, Safety Harbor, FL 34695; Financial Planner; Start 3/1/2022; 160 hour/month, 150 hours/month during trading.
CRS (Client Relationship Summary) - RIA
Click below to view Harrison Clark Moore's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Harrison Clark 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
April 11, 2022 - Present
ROGAN & ASSOCIATES, INC.
Office #1: 200 9th Avenue North Suite 100, Safety Harbor, FL 34695Office #2: 200 9th Avenue North Suite 100, Safety Harbor, FL 34695RIA
BD
CRD#: 42762
Safety Harbor, FL
Current
May 12, 2025 - Present
J.W. COLE FINANCIAL, INC.
Office #1: 200 Ninth Avenue North Suite 100, Safety Harbor, FL 34695BD
CRD#: 124583
Safety Harbor, FL
Past
December 3, 2018 - March 3, 2022
DARWIN WEALTH MANAGEMENT
RIA
CRD#: 166585
TAMPA, FL
Past
May 15, 2017 - October 17, 2018
AMERICAN FAMILY LEGACY GROUP
RIA
CRD#: 154050
TAMPA, FL
Past
September 18, 2015 - September 21, 2016
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
BALA CYNWYD, PA
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".
R&
ROGAN & ASSOCIATES, INC.
ADS DISTRIBUTORS, INC. | ROGAN, ROSENBERG, & ASSOCIATES, INC. | ROGAN, ROSENBERG & ASSOCIATES, INC. | ROGAN AND ASSOCIATES FINANCIAL PLANNERS | ROGAN & ASSOCIATES, INC. | ROGAN & ASSOCIATES
CRD#: 42762 / SEC#: 801-69994, 8-49995
RIA
Registered Investment Advisory firm - SEC (3/30/2009 Approved)Florida
Registered Investment Advisory firm - SEC (4/4/2009 Terminated)Virginia
Registered Investment Advisory firm - SEC (4/7/2009 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Florida 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
IAR
Florida(4/11/2022)
RR
Florida(5/13/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/30/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
R&
ROGAN & ASSOCIATES, INC.
ADS DISTRIBUTORS, INC. | ROGAN, ROSENBERG, & ASSOCIATES, INC. | ROGAN, ROSENBERG & ASSOCIATES, INC. | ROGAN AND ASSOCIATES FINANCIAL PLANNERS | ROGAN & ASSOCIATES, INC. | ROGAN & ASSOCIATES
CRD#: 42762 / SEC#: 801-69994, 8-49995
RIA
Registered Investment Advisory firm - SEC (3/30/2009 Approved)Florida
Registered Investment Advisory firm - SEC (4/4/2009 Terminated)Virginia
Registered Investment Advisory firm - SEC (4/7/2009 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information
Main Address
200 9th Avenue. North Suite 100, Safety Harbor, FL 34695
Mailing Address
200 9th Avenue. North Suite 100, Safety Harbor, FL 34695-3500
Phone number
(727) 712-3400
Established
Florida since 01/17/1997
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
16
SEC notice filing (16 States and Territories)
FINRA licenses (3 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 2,606 |
| AUM (Assets Under Management) | $ 662,228,094 |
Disclosures
| Regulatory Event | 2 |
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.
Company Information
ROGAN & ASSOCIATES, INC.
CRD#: 42762Safety Harbor, FL 34695TRUST BUT VERIFY
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