JM
Jonathan A. Moore
AMERICAN INDEPENDENT SECURITIES GROUP
Winthrop, WA 98862
Some features on this profile are disabled
CRD#: 7235263
JM
Professional summary
Jonathan Arthur Moore, who also goes by Jon Moore, is a registered financial advisor currently at AMERICAN INDEPENDENT SECURITIES GROUP, LLC located in Winthrop, Washington.
Jonathan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2023. Jonathan has worked at 1 firm and has passed the Series 63, Series 65, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jon 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.Tax Preparation; Non-Investment Related; 503 Hwy 20, 2nd Floor Suite 5, Winthrop, WA 98861; DBA Comprehensive Tax Strategies, Tax preparer; Less than 20 hrs/mo, during market hours. 240 hours during Feb-Apr - of which 6 will be during trading hours, starting 1/12/24 2. Lost River Airport Association; Trustee / Board member Non-Profit, volunteer 2 hrs / month outside trading hours, Lost River Road, Mazama, WA, starting 9/8/2023. 3. Lost River Sewer Association; maintenance of pump house and spring, Lower Section of LRAA housing near river, non-profit, volunteer 1 hour / month outside trading hours, starting 9/8/2023. 4. Tribalco LLC; Mazama, WA, Non-investment related, spending 10 hours/mo5 during trading hours, receiving cash compensation as Sr. Director of Strategic Programs. Work on plans, proposals, proformas, organizational structures, strategic planning. 5. Mazama Community Church; 18202 Hwy 20, Winthrop, WA 98862, Secretary/Treasurer w/ check writing, non-profit/charity, volunteering 2 hours/month none during securities trading hours starting 9/18/23 6. Comprehensive Financial Strategies, DBA; 503 Hwy 20 2nd fl Suite 5 Winthrop WA 98862, Securities and Insurance. Life, Disability, Property, Casualty, 5 hrs/mo and during trading hrs.% Annual Income from this Activity1-20% 7. Jonathan Moore LLC, not investment related, 30 Mercer Rd, Mazama, WA 98833, Lender in promissory note, Owner or Shareholder starting 11/8/2024, with 1 hr/mo spent on oba and none during securities hours, lend operate and maintain rooftop solar properties in Hawaii, receiving monthly power purchase payments for 25-years from the homeowner
CRS (Client Relationship Summary) - RIA
Click below to view Jonathan Arthur Moore's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jonathan Arthur 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
July 7, 2023 - Present
AMERICAN INDEPENDENT SECURITIES GROUP, LLC
Office #1: 503 Hwy 20 2nd Floor Suite 5, Winthrop, WA, 98862RIA
BD
CRD#: 135288
Winthrop, WA
Current
August 5, 2023 - Present
AMERICAN INDEPENDENT SECURITIES GROUP, LLC
Office #1: 503 Hwy 20 2nd Floor Suite 5, Winthrop, WA, 98862RIA
BD
CRD#: 135288
Winthrop, WA
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".
AI
AMERICAN INDEPENDENT SECURITIES GROUP, LLC
AMERICAN INDEPENDENT SECURITIES GROUP, LLC
CRD#: 135288 / SEC#: 801-69138, 8-66905
RIA
Registered Investment Advisory firm - SEC (5/27/2008 Approved)Arizona
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)California
Registered Investment Advisory firm - SEC (6/4/2008 Terminated)Colorado
Registered Investment Advisory firm - SEC (7/3/2008 Terminated)District of Columbia
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Florida
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Georgia
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Idaho
Registered Investment Advisory firm - SEC (6/11/2008 Terminated)Indiana
Registered Investment Advisory firm - SEC (6/5/2008 Terminated)Kentucky
Registered Investment Advisory firm - SEC (6/9/2008 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (6/16/2008 Terminated)Montana
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Nevada
Registered Investment Advisory firm - SEC (7/8/2008 Terminated)New Mexico
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)North Dakota
Registered Investment Advisory firm - SEC (6/9/2008 Terminated)Ohio
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Oregon
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Texas
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Washington
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver 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
RR
Hawaii(8/23/2024)
RR
Oregon(8/23/2024)
IAR
Washington(7/7/2023)
RR
Washington(8/28/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 8/5/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AI
AMERICAN INDEPENDENT SECURITIES GROUP, LLC
AMERICAN INDEPENDENT SECURITIES GROUP, LLC
CRD#: 135288 / SEC#: 801-69138, 8-66905
RIA
Registered Investment Advisory firm - SEC (5/27/2008 Approved)Arizona
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)California
Registered Investment Advisory firm - SEC (6/4/2008 Terminated)Colorado
Registered Investment Advisory firm - SEC (7/3/2008 Terminated)District of Columbia
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Florida
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Georgia
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Idaho
Registered Investment Advisory firm - SEC (6/11/2008 Terminated)Indiana
Registered Investment Advisory firm - SEC (6/5/2008 Terminated)Kentucky
Registered Investment Advisory firm - SEC (6/9/2008 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (6/16/2008 Terminated)Montana
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Nevada
Registered Investment Advisory firm - SEC (7/8/2008 Terminated)New Mexico
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)North Dakota
Registered Investment Advisory firm - SEC (6/9/2008 Terminated)Ohio
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Oregon
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Texas
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Washington
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
664 S Rivershore Lane Suite 150, Eagle, ID 83616
Mailing Address
Po Box 579, Eagle, ID 83616
Phone number
(208) 489-3131
Established
Idaho since 12/30/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
34
SEC notice filing (49 States and Territories)
FINRA licenses (50 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 2,987 |
| AUM (Assets Under Management) | $ 604,888,609 |
Disclosures
| Regulatory Event | 1 |
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
AMERICAN INDEPENDENT SECURITIES GROUP, LLC
CRD#: 135288Winthrop, WA 98862TRUST BUT VERIFY
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