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Charles Alexander Moore

Loop Capital Markets LLC

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About Charles Alexander Moore

Charles Alexander Moore is a registered representative with Loop Capital Markets LLC. Charles is a seasoned financial professional with over 30 years of experience in the securities industry. He is licensed to sell securities in Illinois and Texas and holds a Series 7, Series 52, Series 53 and Series 63 license. Charles previously worked for J.P. Morgan Securities Inc. and Lehman Brothers Inc. Charles’s expertise in the financial markets allows him to help clients with a variety of needs, including investment management, financial planning and retirement planning.

Firm Information

Charles Moore is currently registered with Loop Capital Markets LLC. Loop Capital Markets LLC is a Limited Liability Company formed on June 1, 2004. The firm provides a range of advisory services, including transition management services, equity research services, and security ratings. It serves a variety of client types, including corporations, state or municipal government entities, other investment advisors, and pension plans. The firm is registered with the Securities and Exchange Commission and is licensed to conduct business in all 50 states.

Not reported

Assets Under Management

15

Total Clients

123

Total Financial Advisors

Services Offered

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.

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transition management services/equity research services

Transition management services/equity research services

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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other

Negotiated fees for research services

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Charles Moore’s Registration & Firm History

NY

08/05/2008 - Present

Loop Capital Markets LLC (NEW YORK NY)

NY

05/01/2001 - 06/20/2008

J.P. MORGAN SECURITIES INC. (NEW YORK NY)

NY

04/08/1999 - 05/01/2001

J.P. MORGAN SECURITIES INC. (NEW YORK NY)

NY

02/19/1997 - 02/26/1999

J.P. MORGAN SECURITIES INC. (NEW YORK NY)

NY

02/17/1987 - 01/28/1997

LEHMAN BROTHERS INC. (NEW YORK NY)

NA

05/22/1984 - 02/10/1987

SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED

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Licenses & Designations

BC

Issued 09/26/1984

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/11/1997

Series 53 - Municipal Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/21/1987

Series 7 - General Securities Representative Examination

BC

Issued 04/11/1981

Series 52 - Municipal Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Charles Alexander Moore.
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