JM
John D. Moore
BREAN CAPITAL
Dallas, TX 75254
Some features on this profile are disabled
CRD#: 7840679
JM
Professional summary
John David Moore, who also goes by J.d. Moore, John Moore, is a registered financial professional currently at BREAN CAPITAL, LLC located in Dallas, Texas.
John is registered as a RR (Registered Representative) and started their career in finance in 2024. John has worked at 1 firm and has passed the Series 63, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
J.d. Moore | John 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.
CRS (Client Relationship Summary) - BD
Click below to view John David 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
January 3, 2024 - Present
BREAN CAPITAL, LLC
Office #1: 14800 Landmark Boulevard Suite 400, Dallas, TX 75254BD
CRD#: 23723
Dallas, TX
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
Alabama(2/14/2024)
RR
Alaska(2/14/2024)
RR
Arizona(2/14/2024)
RR
Arkansas(2/14/2024)
RR
California(2/14/2024)
RR
Colorado(2/14/2024)
RR
Connecticut(2/14/2024)
RR
Delaware(2/14/2024)
RR
District of Columbia(2/14/2024)
RR
Florida(2/14/2024)
RR
Georgia(2/14/2024)
RR
Hawaii(2/14/2024)
RR
Idaho(2/14/2024)
RR
Illinois(2/14/2024)
RR
Indiana(2/14/2024)
RR
Iowa(2/14/2024)
RR
Kansas(2/14/2024)
RR
Kentucky(2/14/2024)
RR
Louisiana(2/14/2024)
RR
Maine(2/14/2024)
RR
Maryland(2/14/2024)
RR
Massachusetts(2/14/2024)
RR
Michigan(2/14/2024)
RR
Minnesota(2/14/2024)
RR
Mississippi(2/14/2024)
RR
Missouri(2/14/2024)
RR
Montana(2/14/2024)
RR
Nebraska(2/14/2024)
RR
Nevada(2/14/2024)
RR
New Hampshire(2/14/2024)
RR
New Jersey(2/14/2024)
RR
New Mexico(2/14/2024)
RR
New York(1/16/2024)
RR
North Carolina(2/14/2024)
RR
North Dakota(2/14/2024)
RR
Ohio(2/15/2024)
RR
Oklahoma(2/14/2024)
RR
Oregon(2/14/2024)
RR
Pennsylvania(2/14/2024)
RR
Puerto Rico(2/14/2024)
RR
Rhode Island(2/14/2024)
RR
South Carolina(2/14/2024)
RR
South Dakota(2/14/2024)
RR
Tennessee(2/14/2024)
RR
Texas(1/16/2024)
RR
Utah(2/14/2024)
RR
Vermont(2/14/2024)
RR
Virginia(2/14/2024)
RR
Washington(2/14/2024)
RR
West Virginia(2/14/2024)
RR
Wisconsin(2/14/2024)
RR
Wyoming(2/14/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/3/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
BC
BREAN CAPITAL, LLC
BREAN CAPITAL, LLC | NATIONAL LIQUIDATORS, INC | CARRET SECURITIES, LLC | CARRET SECURITIES, INC. | BREAN MURRAY, CARRET & CO., LLC.
CRD#: 23723 / SEC#: , 8-40742
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
505 Fifth Avenue 5th Floor, New York, NY 10017
Mailing Address
505 Fifth Avenue 5th Floor, New York, NY 10017
Phone number
(212) 702-6500
Established
Delaware since 02/03/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BMUR HOLDINGS, LLC | HOLDING COMPANY | |
| HUNT FS HOLDINGS III, LLC | HOLDING COMPANY | |
| ALLURED LLC | HOLDING COMPANY | |
| LIZINATOR LLC | HOLDING COMPANY | |
| BREAN CAPITAL HOLDINGS, LLC | HOLDING COMPANY | |
| CORWEN, STEPHEN MILLER | HEAD OF MBS/ABS SALES | 2943061 |
| FINE, ROBERT MICHAEL | CHIEF EXECUTIVE OFFICER | 1450313 |
| GUZMAN, JEFFREY M | CHIEF COMPLIANCE OFFICER | 3095123 |
| LAMARSH, JONATHAN ANDREW | PRINCIPAL OPERATIONS OFFICER | 5436335 |
| MACKLIN, JOHN TIMOTHY | PRINCIPAL OPERATIONS OFFICER | 1446800 |
| SARABELLA, ARNOLD | CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | 1717059 |
| TIRSCHWELL, ROBERT MOYSE | EXECUTIVE MANAGING DIRECTOR | 2230453 |
Disclosures
| Regulatory Event | 12 |
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
BREAN CAPITAL, LLC
CRD#: 23723Dallas, TX 75254TRUST BUT VERIFY
Monitor John Moore
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
