Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brian? Claim Your ProfileBrian Moore is a financial advisor with over 29 years of experience in the industry. Brian has a Series 7, Series 63, and Series 65 licenses, as well as a SIE. Brian is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. as a Registered Representative and Investment Advisor Representative. Prior to that, Brian worked at Morgan Stanley and Citigroup Global Markets Inc. Brian is registered in multiple states including California, Colorado, Connecticut, Florida, Georgia, Illinois, Kentucky, Maryland, Massachusetts, Michigan, Minnesota, Nevada, New Hampshire, New Jersey, New York, North Carolina, Ohio, Pennsylvania, South Carolina, Texas, Virginia, Washington and West Virginia. Brian specializes in portfolio management for individuals, businesses, and pension plans. Brian offers a variety of financial services including performance measurement reports, allocation modeling, investment policy statements (IPS), research reports and services.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
NJ
02/26/2013 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (RED BANK NJ)
NJ
06/01/2009 - 03/08/2013
MORGAN STANLEY (SHREWSBURY NJ)
NJ
08/23/1995 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (SHREWSBURY NJ)
NY
06/23/1994 - 07/21/1995
L.C. WEGARD & CO., INC. (NEW YORK NY)
IA
Issued 06/11/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/08/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/22/1994
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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