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Charles Douglas Moore

Nylife Securities LLC

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About Charles Douglas Moore

Charles Moore is a financial advisor with over 14 years of experience in the financial services industry. Charles currently works with Nylife Securities LLC. Charles is licensed to conduct business in Virginia and Texas. Charles has a Series 7, 24, 28, 3, 63, and SIE licenses. Charles previously worked with MGI FUNDS DISTRIBUTORS, LLC, AGECROFT PARTNERS, LLC, FRONTIER SOLUTIONS, LLC, MAYMONT PARTNERS, INC., and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED.

Firm Information

Charles Moore is currently registered with Nylife Securities LLC. Nylife Securities LLC is a Limited Liability Company formed in 2007, registered in 51 states and the SEC. The firm has been involved in 13 regulatory events and 7 arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

4,464

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.

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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Charles Moore’s Registration & Firm History

VA

04/26/2024 - Present

Nylife Securities LLC (GLEN ALLEN VA)

VA

03/09/2020 - 12/31/2022

MGI FUNDS DISTRIBUTORS, LLC (Richmond VA)

VA

07/13/2011 - 07/12/2012

AGECROFT PARTNERS, LLC (RICHMOND VA)

VA

05/19/2010 - 07/14/2011

FRONTIER SOLUTIONS, LLC (RICHMOND VA)

VA

02/27/2003 - 05/19/2010

MAYMONT PARTNERS, INC. (RICHMOND VA)

NY

09/02/1993 - 03/07/1996

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

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Licenses & Designations

BC

Issued 06/04/2020

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 09/08/2003

Series 28 - Introducing Broker/Dealer Financial Operations Principal Examination

BC

Issued 07/09/2003

Series 24 - General Securities Principal Examination

BC

Issued 03/09/2020

Series 7TO - General Securities Representative Examination

BC

Issued 02/25/2020

SIE - Securities Industry Essentials Examination

BC

Issued 02/26/2003

Series 7 - General Securities Representative Examination

BC

Issued 11/26/1990

Series 3 - National Commodity Futures Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Charles Douglas Moore. Review regulatory record here.
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