Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Russell Moore is a financial advisor with over 40 years of experience in the industry. James Russell Moore is currently registered with Wells Fargo Clearing Services, LLC and has been with the firm since May 2009. James Russell Moore is also registered with the state of Texas. James Russell Moore previously worked at Citigroup Global Markets Inc. and Lehman Brothers Inc. James Russell Moore holds the Series 3, 5, 7, 15, 63, and 65 licenses. James Russell Moore has a strong track record of success in providing financial advice to a wide range of clients.
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.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
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
MO
08/03/2017 - Present
Wells Fargo Clearing Services, LLC (CLAYTON MO)
MO
07/31/1993 - 03/23/2009
CITIGROUP GLOBAL MARKETS INC. (CLAYTON MO)
NY
04/11/1988 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
02/18/1988 - 04/11/1988
E. F. HUTTON & COMPANY INC
NA
03/30/1982 - 01/11/1988
PRUDENTIAL-BACHE SECURITIES INC.
NA
07/01/1980 - 04/05/1982
DEAN WITTER REYNOLDS INC.
IA
Issued 08/17/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/12/1980
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/07/1983
Series 15 - Foreign Currency Options Examination
BC
Issued 09/02/1982
Series 3 - National Commodity Futures Examination
BC
Issued 11/16/1981
Series 5 - Interest Rate Options Examination
BC
Issued 06/21/1980
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure James Moore is the right advisor for you? Invested Better is here to help.
