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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alan? Claim Your ProfileAlan Moore is a financial advisor with Raymond James & Associates, Inc. in Mandeville, Louisiana. Alan has been in the financial services industry since November 1992. Before joining Raymond James & Associates, Inc., Alan worked at Wells Fargo Clearing Services, LLC. Alan holds a Series 7, 9, 10, 63 and 65 licenses, as well as a SIE certification. Alan is also registered with the following states: Alabama, Arizona, Arkansas, California, Colorado, Florida, Kansas, Louisiana, Mississippi, Missouri, New York, North Carolina, Pennsylvania, Tennessee, Texas and Washington. Alan is a Board Member of the Reserve Homeowner's Association. Alan provides advisory services to individuals, families and businesses.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Please see note in schedule d - miscellaneous
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
LA
06/20/2018 - Present
Raymond James & Associates, Inc. (Mandeville LA)
LA
03/04/2004 - 06/19/2018
WELLS FARGO CLEARING SERVICES, LLC (MANDEVILLE LA)
MD
08/31/1995 - 03/09/2004
LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)
NJ
11/23/1992 - 09/14/1995
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
IA
Issued 11/24/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/20/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 08/11/1998
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/13/1992
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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