Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Frances? Claim Your ProfileFrances Moore is an Investment Advisor Representative at Waterloo Capital. Frances has been working in the financial industry since 1985. Frances holds the Series 7, 24, 31, 52, 53, 63, and 65 licenses. Waterloo Capital is a registered investment advisor that provides financial planning, portfolio management, and selection of other advisers. They have a large number of clients and assets under management. Frances specializes in providing financial advice to individuals and pension and profit-sharing plans.
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.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
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
TX
04/17/2018 - Present
Waterloo Capital (AUSTIN TX)
TX
02/13/2013 - 04/19/2018
RAYMOND JAMES & ASSOCIATES, INC. (AUSTIN TX)
TX
03/08/1996 - 02/13/2013
MORGAN KEEGAN & COMPANY, INC. (AUSTIN TX)
NY
01/23/1991 - 04/04/1996
NATIONSBANC CAPITAL MARKETS, INC. (NEW YORK NY)
MA
04/02/1990 - 01/28/1991
NCNB SECURITIES, INC. (BOSTON MA)
NA
11/06/1987 - 04/02/1990
NCNB TEXAS SECURITIES, INC.
NA
02/08/1988 - 06/26/1989
ISFA CORPORATION
NA
08/29/1986 - 11/06/1987
REPUBLICBANK FINANCIAL MARKETS, INC.
IA
Issued 05/20/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/15/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/17/1989
Series 24 - General Securities Principal Examination
BC
Issued 05/04/1983
Series 53 - Municipal Securities Principal Examination
BC
Issued 04/19/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/20/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 03/19/1988
Series 7 - General Securities Representative Examination
BC
Issued 08/30/1985
Series 6 - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 08/10/1982
Series 52 - Municipal Securities Representative Examination
Active
Inactive
Not sure Frances Moore is the right advisor for you? Invested Better is here to help.
