AM
Aaron E. Moore
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CRD#: 7287349
AM
Aaron Edward Moore
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Aaron Edward Moore was a registered financial professional .
Aaron is a previously registered financial professional and started their career in finance in 2020. Aaron had worked at 1 firm and has passed the Series 63, Series 6TO and SIE exams.
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.
"Sales of insurance and non-insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc." MOORE WEALTH COACHING, LLC/Investment Related - No/2523 Spring Meadow Drive, Sachse, TX 75048, 903-689-3514/This business is a marketing company that provides lead generation, education, training, and events./Owner/01.2020/160/100/All owner responsibilities. MOORE INVESTMENTS TEAM, LLC/Investment Related - Yes/2523 Spring Meadow Drive, Sachse, TX 75048, 903-689-3514/This LLC invests in rental properties to generate personal income./Owner/02.2019/10/2/All owner responsibilities PEKIN INSURANCE POSITION: IT Director NATURE: Pekin Insurance provides auto, home, life, and health insurance. INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 8 START DATE: 10/10/2022 ADDRESS: 2505 Court St, Pekin IL 61558, United States DESCRIPTION: The T Director position is responsible for activities that contribute to planning, creating, and implementing an IT vision and strategy aligned with the organization's strategic objectives. The IT Director oversees the development of IT standards, best practices, technology architecture, and technology evaluation.IT Directors are responsible for developing, delivering, and optimizing assigned products, services, and/or solutions to the Pekin Insurance enterprise and customers. Works with business partners to understand and shape business needs; may partner with senior business leaders to assist in developing an integrated functional-business strategy Provides consultation regarding the strategy and implementation of IT initiatives to support value streams, products, and business strategies works to optimize the alignment of IT and business strategies, and serves as a trusted guide during strategy development Participates in, or in some cases manages cost recovery (if any), budgeting, and investment decisions in their area of responsibility Manages service demand for area of responsibility Initiates, develops, directs and ensures success of the improvement processes that impact customer satisfaction and relationships Ensures that stakeholders continually optimize IT governance and decision-making processes as the business context and technology landscape changes Manages the development of the business and technology planning May set standards for business and technology architecture and associated decisions in their areas of responsibility Ensures data strategy supports product results through application of technology and analytics Initiates the relationship and joint planning activities with strategic business planners to understand the organization's direction and to help educate the planners on the impact that technology will/can have Maintains a close relationship with product owners and business units and functions to identify potential applications for emerging technologies Provides high-quality services at optimal cost to customers Gathers feedback and measures performance to identify improvement and optimization opportunities, and adjusts solutions accordingly Directs and oversees the development and implementation of tools and technologies that make it easier to do work, and increase effectiveness Researches and represents thought leadership to advise senior leaders on best practices in his/her space of expertise Collaborates with leaders to develop an IT Strategy that takes advantage of emerging technologies to contribute to business strategy Promotes development and exhibition of change leadership capabilities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
September 11, 2020 - February 24, 2026
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
LAKE MARY, FL
Past
August 14, 2020 - February 24, 2026
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
LAKE MARY, FL
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".
TF
TRANSAMERICA FINANCIAL ADVISORS, LLC
IDEX DISTRIBUTORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, LLC | TRANSAMERICA FINANCIAL ADVISORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, INC | PIONEER WESTERN DISTRIBUTORS, INC. | INTERSECURITIES, INC.
CRD#: 16164 / SEC#: 801-38618, 8-33429
RIA
Registered Investment Advisory firm - SEC (5/16/1991 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 9/11/2020
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
Current Firm
TF
TRANSAMERICA FINANCIAL ADVISORS, LLC
IDEX DISTRIBUTORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, LLC | TRANSAMERICA FINANCIAL ADVISORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, INC | PIONEER WESTERN DISTRIBUTORS, INC. | INTERSECURITIES, INC.
CRD#: 16164 / SEC#: 801-38618, 8-33429
RIA
Registered Investment Advisory firm - SEC (5/16/1991 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
Two Liberty Place 50 South 16th Street, Suite 3700, Philadelphia, PA 19102
Mailing Address
6400 C St Sw, Cedar Rapids, IA 52499-0001
Phone number
(727) 299-1800
Established
Delaware since 12/28/1984
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
1,054
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 42,440 |
| AUM (Assets Under Management) | $ 1,730,669,809 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 3 |
| Bond | 3 |
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.
