Matthew James Moore
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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
6 years in the financial services industry
Current & Past Employments
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Current Firm
WEITZEL FINANCIAL SERVICES | WEITZEL FINANCIAL SERVICES, INC.
Contact Information
Main Address
1200 Cedar Cross Rd, Dubuque, IA 52003Mailing Address
1200 Cedar Cross Rd, Dubuque, IA 52003-0306Phone Number
(563) 583-6020Established
Iowa since 08/01/1990Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
4SEC notice filing (7 States and Territories)
Registered to provide investment advisory services in 7 US states and territories.
FINRA licenses (11 States and Territories)
Registered to provide investment advisory services in 7 US states and territories.
Documents
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
1,134AUM (Assets Under Management)
$327,771,408Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
WEITZEL FINANCIAL SERVICES | WEITZEL FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
(1/17/2020)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6TO — Investment Company Products/Variable Contracts Representative Examination
Passed Apr 2024About the Series 6TO examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Matthew James Moore's CRS (Customer Relationship Summary).
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