MM
Micah Moore
INDEPENDENT SOLUTIONS WEALTH MANAGEMENT
Naples, NY
Some features on this profile are disabled
CRD#: 6843898
MM
Professional summary
Micah Moore, who also goes by Micah Thomas Moore, is a registered financial advisor currently at INDEPENDENT SOLUTIONS WEALTH MANAGEMENT, LLC located in Naples, New York and PEAK BROKERAGE SERVICES, LLC located in Rochester, New York.
Micah is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Micah has worked at 5 firms and has passed the Series 65, Series 63, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Micah 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.
1) Business Entity: Naples NY Rotary Club; Business Activity: Naples NY Rotary Club; Address: Naples, NY; Duties of Position: Club Auditor, Camp Onseyawa Rep; trout derby committee chair; Title: Club Auditor, Camp Onseyawa Rep; Start Date: 10/2020; Approx. # of hours per month spent on activity: 8; Approx. # of hours spent during trading hours: 3 2) Business Entity: Rotary Camp Onseyawa; Business Activity: Board Member; Address: Penn Yan, NY; Duties of Position: Voting, auditing, facilitating meetings; Title: Vice President of the Board, Board Member; Committee Member; Start Date: 08/2021; Approx. # of hours per month spent on activity: 3; Approx. # of hours spent during trading hours: 3 3) Business Entity: Peak Brokerage Services; Business Activity: Broker Dealer; Duties of Position: Registered Representative; Title: Registered Representative; Start Date: 04/2024; Approx. # of hours per month spent on activity: 20; Approx. # of hours spent during trading hours: 20 4) Business Entity: The Financial Guys; Business Activity: Wealth Manager; Duties of Position: Sell life insurance, perform financial reviews; Title: Wealth Manager; Start Date: 04/2024; Approx. # of hours per month spent on activity: 20; Approx. # of hours spent during trading hours: 20 5) Business Entity: Independent Solutions Wealth Management, LLC; Business Activity: RIA; Duties of Position: Investment Advisor Services; Title: IAR; Start Date: 04/2024; Approx. # of hours per month spent on activity: 20; Approx. # of hours spent during trading hours: 20
CRS (Client Relationship Summary) - RIA
Click below to view Micah 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 18, 2024 - Present
INDEPENDENT SOLUTIONS WEALTH MANAGEMENT, LLC
RIA
CRD#: 144733
Naples, NY
Current
April 16, 2024 - Present
PEAK BROKERAGE SERVICES, LLC
Office #1: 3445 Winton Place Suite 119 - 120, Rochester, NY 14623Office #2: 8624 State Rt 21, Naples, NY 14512BD
CRD#: 157045
Rochester, NY
Past
November 18, 2021 - April 22, 2024
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
Naples, NY
Past
July 14, 2021 - April 22, 2024
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
Rochester, NY
Past
January 16, 2020 - July 15, 2021
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
ROCHESTER, NY
Past
March 5, 2019 - July 12, 2019
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
Naples, NY
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".
IS
INDEPENDENT SOLUTIONS WEALTH MANAGEMENT, LLC
INDEPENDENT SOLUTIONS WEALTH MANAGEMENT, LLC
CRD#: 144733 / SEC#: 801-69708
RIA
Registered Investment Advisory firm - (11/10/2008 Approved)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
New York(4/16/2024)
IAR
New York(4/18/2024)
RR
Ohio(7/15/2024)
RR
Pennsylvania(4/16/2024)
RR
South Carolina(4/16/2024)
RR
Virginia(4/16/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 3/5/2019
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
IS
INDEPENDENT SOLUTIONS WEALTH MANAGEMENT, LLC
INDEPENDENT SOLUTIONS WEALTH MANAGEMENT, LLC
CRD#: 144733 / SEC#: 801-69708
RIA
Registered Investment Advisory firm - (11/10/2008 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
305 Spindrift Drive, Williamsville, NY 14221
Mailing Address
Phone number
(716) 568-8566
Established
Firm type
Fiscal year end
# of Employees
28
SEC notice filing (24 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 6,427 |
| AUM (Assets Under Management) | $ 1,226,210,629 |
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.
