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MM

Marshal G. Moore

LPL FINANCIAL LLC
Webster, NY 14580
Some features on this profile are disabled
CRD#: 7687221
MM

Professional summary

Marshal Grant Moore, who also goes by Marshal Grant Moore, is a registered financial professional currently at LPL FINANCIAL LLC located in Webster, New York and ESL INVESTMENT SERVICES, LLC located in Webster, New York.

Marshal is registered as a RR (Registered Representative) and started their career in finance in 2023. Marshal has worked at 3 firms and has passed the Series 63, Series 6TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Marshal Grant 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Marshal Grant 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®
None

Experience

Current

October 23, 2024 - Present

LPL FINANCIAL LLC

Office #1: 1055 Ridge Rd, Webster, NY 14580
RIA
BD
CRD#: 6413
Webster, NY
Current

November 15, 2024 - Present

ESL INVESTMENT SERVICES, LLC

Office #1: 1055 Ridge Road, Webster, NY 14580
BD
CRD#: 139176
Webster, NY
Past

November 17, 2023 - August 15, 2024

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
ROCHESTER, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
New York
(10/23/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 12/5/2023
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 11/17/2023
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 5/5/2023
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

EI
ESL INVESTMENT SERVICES, LLC
ESL INVESTMENT SERVICES, LLC

CRD#: 139176 / SEC#: , 8-67195

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
225 Chestnut Street, Rochester, NY 14604
Mailing Address
225 Chestnut Street, Rochester, NY 14604
Phone number
(585) 339-4475
Established
New York since 04/24/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ESL HOLDCO LLCOWNER
DONAHOE, JOELLE LAURENCCO, AMLCO AND COMPLIANCE MANAGER2678810
IACOBELLI, LEOPRESIDENT/COO/EXECUTIVE REP1717602
ROCHE, PASCAL AFINOP/ PFO/ POO5920968

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

ESL INVESTMENT SERVICES, LLC

CRD#: 139176Webster, NY 14580

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