Unclaimed
James Lloyd Moore is a registered investment advisor representative with RBC Capital Markets, LLC. James Moore has been in the industry since November 19, 1985. James Moore has passed the Series 63, Series 65, Series 7 and SIE exams. James Moore is also registered in 9 states including California, Florida, Georgia, Missouri, North Carolina, Ohio, South Carolina, and Virginia. Prior to joining RBC Capital Markets, LLC, James Moore was employed by CITIGROUP GLOBAL MARKETS INC. and WACHOVIA SECURITIES, INC.. James Moore also serves as a youth basketball referee.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
1
2
NC
04/01/2009 - Present
RBC Capital Markets, LLC (CHARLOTTE NC)
NC
03/15/2002 - 04/20/2009
CITIGROUP GLOBAL MARKETS INC. (CHARLOTTE NC)
NC
07/13/1988 - 03/21/2002
WACHOVIA SECURITIES, INC. (CHARLOTTE NC)
NA
11/20/1985 - 08/12/1988
MARION BASS SECURITIES CORPORATION
IA
Issued 09/14/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/04/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/16/1985
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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