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Matthew J. Moore
WEITZEL FINANCIAL SERVICES
Dubuque, IA 52002
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CRD#: 7049601
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Professional summary
Matthew James Moore is a registered financial advisor currently at WEITZEL FINANCIAL SERVICES, INC. located in Dubuque, Iowa.
Matthew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. Matthew has worked at 1 firm and has passed the Series 63, Series 65, SIE and Series 6TO 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.
Iowa Medicaid Program for Individuals on Home & Community Services Waivers Non-investment related PO Box 4502, Waterloo IA 50704 Position: Caseworker September 2017 - Current 20 - 30 hours monthly 0 hours during security trading hours Building life skills for mentally/socially handicapped youth Weitzel Financial Services, Inc. Insurance Related Dubuque, IA Insurance Agent 2021 6 hours a month, including during traditional market hours Offer insurance products and services of unaffiliated issuers via affiliated insurance agency
CRS (Client Relationship Summary) - RIA
Click below to view Matthew James 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
January 17, 2020 - Present
WEITZEL FINANCIAL SERVICES, INC.
Office #1: 2200 John F. Kennedy Road Suite 103, Dubuque, IA 52002Office #2: 2200 John F. Kennedy Road Suite 103, Dubuque, IA 52002RIA
BD
CRD#: 27346
Dubuque, IA
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".
WF
WEITZEL FINANCIAL SERVICES, INC.
WEITZEL FINANCIAL SERVICES | WEITZEL FINANCIAL SERVICES, INC.
CRD#: 27346 / SEC#: 801-118164, 8-43093
RIA
Registered Investment Advisory firm - SEC (3/4/2020 Approved)Illinois
Registered Investment Advisory firm - SEC (3/4/2020 Terminated)Iowa
Registered Investment Advisory firm - SEC (3/4/2020 Terminated)Texas
Registered Investment Advisory firm - SEC (3/4/2020 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (3/4/2020 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City 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.Highlighted states indicate IAR registrations
IAR
Illinois(2/3/2020)
IAR
Iowa(1/17/2020)
IAR
Wisconsin(1/17/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 6TO
Date: 4/8/2024
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
WF
WEITZEL FINANCIAL SERVICES, INC.
WEITZEL FINANCIAL SERVICES | WEITZEL FINANCIAL SERVICES, INC.
CRD#: 27346 / SEC#: 801-118164, 8-43093
RIA
Registered Investment Advisory firm - SEC (3/4/2020 Approved)Illinois
Registered Investment Advisory firm - SEC (3/4/2020 Terminated)Iowa
Registered Investment Advisory firm - SEC (3/4/2020 Terminated)Texas
Registered Investment Advisory firm - SEC (3/4/2020 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (3/4/2020 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
2200 John F Kennedy Rd Suite 103, Dubuque, IA 52002
Mailing Address
2200 John F. Kennedy Rd. Suite 103, Dubuque, IA 52002-2840
Phone number
(563) 583-6020
Established
Iowa since 08/01/1990
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
3
SEC notice filing (5 States and Territories)
FINRA licenses (9 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,593 |
| AUM (Assets Under Management) | $ 274,305,590 |
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.
