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AM

Alexander T. Moore

HAVELI GLOBAL SECURITIES
Austin, TX 78701
Some features on this profile are disabled
CRD#: 6753346
AM

Professional summary

Alexander Truett Moore, who also goes by Alex Moore, is a registered financial professional currently at HAVELI GLOBAL SECURITIES, LLC located in Austin, Texas.

Alexander is registered as a RR (Registered Representative) and started their career in finance in 2024. Alexander has worked at 1 firm and has passed the SIE and Series 7TO exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Alex 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 Alexander Truett 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®
None

Experience

Current

March 7, 2024 - Present

HAVELI GLOBAL SECURITIES, LLC

Office #1: 405 Colorado St, Suite 1600, Austin, TX 78701
BD
CRD#: 323042
Austin, TX

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.

Exams

General Industry/Product Exam
RR
SIE
Date: 3/7/2024
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7TO
Date: 3/4/2024
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

HG
HAVELI GLOBAL SECURITIES, LLC
HAVELI GLOBAL SECURITIES, LLC

CRD#: 323042 / SEC#: , 8-70971

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
405 Colorado St Suite 1600, Austin, TX 78701
Mailing Address
405 Colorado St Suite 1600, Austin, TX 78701
Phone number
(512) 809-9092
Established
Delaware since 06/24/2022
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (47 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
HAVELI INVESTMENTS LPSOLE MEMBER
ATTANASIO, ELIZABETH MARIEFINOP5325007
BECK, ERIC JASONCHIEF COMPLIANCE OFFICER4824373
MATHEWS, JASON LAMONTCEO4135959

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

HAVELI GLOBAL SECURITIES, LLC

CRD#: 323042Austin, TX 78701

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