TM
Thomas E. Moore
SECURE FINANCIAL MANAGEMENT
SAN ANTONIO, TX 78249
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CRD#: 7424146
TM
Professional summary
Thomas Edward Moore, who also goes by Tom Moore, is a registered financial advisor currently at SECURE FINANCIAL MANAGEMENT located in San Antonio, Texas.
Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Thomas has worked at 5 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tom 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. IMG FINANCIAL GROUP INC POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 01/01/2023 ADDRESS: 4550 Post Oak Place, Suite 125, Houston TX 77027, United States DESCRIPTION: Fixed Insurance 2. IMG MEDICAL GROUP POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 01/01/2023 ADDRESS: 4550 Post Oak Place, Suite 125, Houston TX 77027, United States DESCRIPTION: IMG Medical Group is a DBA for marketing purposes only to attract and prospect medical doctors and personal clients; 3. NAME OF OTHER BUSINESS: IMG FINANCIAL GROUP INC, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 01/2024, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Edward 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
December 2, 2024 - Present
SECURE FINANCIAL MANAGEMENT
Office #1: 4630 De Zavala Rd, San Antonio, TX 78249RIA
CRD#: 169278
SAN ANTONIO, TX
Past
August 10, 2023 - October 31, 2024
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
SAN ANTONIO, TX
Past
August 10, 2023 - October 31, 2024
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
San Antonio, TX
Past
April 20, 2023 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
San Antonio, TX
Past
January 5, 2023 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
San Antonio, TX
Past
January 31, 2022 - December 21, 2022
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
SAN ANTONIO, TX
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".
SF
SECURE FINANCIAL MANAGEMENT
KIRKWOOD FINANCIAL SERVICES | SECURE FINANCIAL MANAGEMENT | KIRKWOOD FINANCIAL SERVICES, LLC
CRD#: 169278 / SEC#: 801-120719
RIA
Registered Investment Advisory firm - (4/6/2021 Approved)Texas
Registered Investment Advisory firm - (4/6/2021 Terminated)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
Texas(12/2/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 2/10/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 1/30/2022
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
Current Firm
SF
SECURE FINANCIAL MANAGEMENT
KIRKWOOD FINANCIAL SERVICES | SECURE FINANCIAL MANAGEMENT | KIRKWOOD FINANCIAL SERVICES, LLC
CRD#: 169278 / SEC#: 801-120719
RIA
Registered Investment Advisory firm - (4/6/2021 Approved)Texas
Registered Investment Advisory firm - (4/6/2021 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
4630 De Zavala Rd, San Antonio, TX 78249
Mailing Address
Phone number
(210) 428-6250
Established
Firm type
Fiscal year end
# of Employees
9
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 621 |
| AUM (Assets Under Management) | $ 313,694,939 |
Red Flags
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