Dewey Malone Moore JR | Financial Professional

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.

Dewey Malone Moore JR, who also goes by Rusty Moore Jr, was a registered financial professional .

Dewey is a previously registered financial professional and started their career in finance in 1974. Dewey had worked at 17 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 62, Series 1, Series 24 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

No

Aliases

Rusty Moore Jr

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)WhiteStone Agency, Inc., a life insurance agency offering life insurance and annuity products. President of the agency, sale of insurance products by myself and other sub-agents. INVESTMENT RELATED; P. O. Box 91, Mount Vernon, Texas 75457; 40 hours/month, 20 hours/month during trading. 2)Executor for the Estates of my mother and father and President of the Managing Partner of Dewey Moore Family, L.P. and Trustee of a related family trust, NOT INVESTMENT RELATED, P.O. Box 795755, Dallas, Texas, 75379, 60 hours/month, 30 hours/month during trading. 3)Rusty Moore Family Ranch, LLC, Sole Managing Member, family real estate and other investments, P. O. Box 91, Mount Vernon, Texas 75457, NOT INVESTMENT RELATED, 80 hours/month, 40 hours/month during trading. 4) Consultant of Dale Moore Group, insurance and benefits business, an affiliate of WhiteStone Group; stated July 2022; 3 hrs per week and during trading hrs. Investment related

Blog Corner

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®

None

Experience

Past

April 27, 2022 - January 5, 2023

CAPITAL MARKETS IQ, LLC

RIA

CRD#: 134921

Talco, TX

Past

March 5, 2019 - August 13, 2019

COMMERCE STREET INVESTMENT MANAGEMENT

RIA

CRD#: 144278

DALLAS, TX

Past

March 5, 2019 - August 13, 2019

COMMERCE STREET CAPITAL, LLC

BD

CRD#: 143797

DALLAS, TX

Past

April 24, 2017 - February 9, 2018

LANIER SECURITIES LLC

BD

CRD#: 285277

Dallas, TX

Past

February 3, 2014 - August 28, 2014

GRADIENT SECURITIES, LLC

BD

CRD#: 127701

DALLAS, TX

Past

April 26, 2010 - December 9, 2013

AVALON INVESTMENT & SECURITIES GROUP, INC.

BD

CRD#: 6281

MUSCLE SHOALS, AL

Past

November 16, 2009 - January 3, 2019

INSTITUTE FOR WEALTH ADVISORS, INC.

RIA

CRD#: 149347

DALLAS, TX

Past

October 23, 2007 - April 22, 2008

PURITAN BROKERAGE SERVICES, INC.

BD

CRD#: 144445

PLANO, TX

Past

October 18, 2007 - April 22, 2008

PEAK AMERICAN INVESTMENT ADVISORS, INC.

RIA

CRD#: 145056

ADDISON, TX

Past

February 22, 2006 - August 1, 2006

MCCLENDON, MORRISON & PARTNERS, INC.

BD

CRD#: 14684

DALLAS, TX

Past

June 28, 1991 - December 31, 2003

RUSHMORE SECURITIES CORPORATION

BD

CRD#: 8392

DALLAS, TX

Past

October 18, 1990 - May 7, 1991

DOMINION CAPITAL CORPORATION

BD

CRD#: 18837

DALLAS, TX

Past

January 16, 1982 - September 6, 1990

PFS INVESTMENTS INC.

BD

CRD#: 10111

DULUTH, GA

Past

November 20, 1980 - June 28, 1985

FIRST TEXAS SECURITIES, INC.

BD

CRD#: 7437

Past

June 6, 1980 - October 6, 1980

ENTERPRISE FUND DISTRIBUTORS, INC.

BD

CRD#: 883

Past

February 25, 1975 - December 13, 1975

STRATEGIC DISTRIBUTORS, INC.

BD

CRD#: 6296

Past

November 20, 1974 - March 7, 1975

HSM REAL ESTATE SECURITIES CORPORATION

BD

CRD#: 6780

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".

CM

CAPITAL MARKETS IQ, LLC

CRD#: 134921 / SEC#: 801-69992

RIA

Registered Investment Advisory firm - (4/3/2009 Approved)

Texas

Registered Investment Advisory firm - (4/3/2009 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/10/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

RR

Series 63

Date: 11/4/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

Series 7TO

Date: 7/26/2019

General Securities Representative Examination

General Industry/Product Exam

RR

SIE

Date: 2/9/2018

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 62

Date: 3/6/1996

Corporate Securities Limited Representative Examination

General Industry/Product Exam

RR

Series 1

Date: 6/6/1980

Registered Representative Examination

Principal/Supervisory Exam

RR

Series 24

Date: 6/19/2000

General Securities Principal Examination

Principal/Supervisory Exam

RR

Series 26

Date: 11/21/1985

Investment Company Products/Variable Contracts Principal Examination

Current Firm

CM

CAPITAL MARKETS IQ, LLC

CRD#: 134921 / SEC#: 801-69992

RIA

Registered Investment Advisory firm - (4/3/2009 Approved)

Texas

Registered Investment Advisory firm - (4/3/2009 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Arlington, TX

Mailing Address

2810 N Church St Pmb 52811, Wilmington, DE 19802

Phone number

(310) 882-6380

Established

Firm type

Fiscal year end

# of Employees

26

SEC notice filing (30 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIRM BROCHURE MARCH 2025 (3/25/2025)

Regulatory assets under management

Total Number of Accounts	827
AUM (Assets Under Management)	$ 450,873,705

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/28/2025	Cover Page	Report
01/28/2025	Cover Page	Report
08/22/2023	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Dewey M. Moore

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

COMMERCE STREET INVESTMENT MANAGEMENT

COMMERCE STREET CAPITAL, LLC

LANIER SECURITIES LLC

GRADIENT SECURITIES, LLC

AVALON INVESTMENT & SECURITIES GROUP, INC.

INSTITUTE FOR WEALTH ADVISORS, INC.

PURITAN BROKERAGE SERVICES, INC.

PEAK AMERICAN INVESTMENT ADVISORS, INC.

MCCLENDON, MORRISON & PARTNERS, INC.

RUSHMORE SECURITIES CORPORATION

DOMINION CAPITAL CORPORATION

PFS INVESTMENTS INC.

FIRST TEXAS SECURITIES, INC.

ENTERPRISE FUND DISTRIBUTORS, INC.

STRATEGIC DISTRIBUTORS, INC.

HSM REAL ESTATE SECURITIES CORPORATION

Primary Firm SEC Registration

CAPITAL MARKETS IQ, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/10/2007

Series 63

Date: 11/4/1981

Series 7TO

Date: 7/26/2019

SIE

Date: 2/9/2018

Series 62

Date: 3/6/1996

Series 1

Date: 6/6/1980

Series 24

Date: 6/19/2000

Series 26

Date: 11/21/1985

Current Firm

CAPITAL MARKETS IQ, LLC

Contact information

SEC notice filing (30 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CAPITAL MARKETS IQ, LLC

TRUST BUT VERIFY

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