Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Ryan Moore is a financial advisor with over 15 years of experience in the industry. James Moore currently works at Ascensus Investment Advisors, LLC. James Moore is registered as a Registered Investment Advisor in the state of Massachusetts. Prior to joining Ascensus Investment Advisors, LLC, James Ryan Moore worked at Benetic Markets LLC, Prudential Investment Management Services LLC, MML Distributors, LLC, CUNA Brokerage Services, Inc., DWS Investments Distributors, Inc, OppenheimerFunds Distributor, Inc., Mutual of America Life Insurance Company and Mutual of America Securities Corporation. James Ryan Moore has also passed the SIE, Series 6, Series 63, and Series 65 exams.
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.
Guidance on pension options to ensure a secure financial future.
Portfolio mgmt/oversight incl review of allocations & selection of underlying securities for qual tuition 529/529a & sfrp plans
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.
A percentage of the total value of assets under management is charged.
Percentage of program management fee and percentage of aua
1
2
MA
03/21/2024 - Present
Ascensus Investment Advisors, LLC (NEWTON MA)
TN
12/22/2022 - 02/21/2023
BENETIC MARKETS LLC (FRANKLIN TN)
NJ
07/07/2021 - 04/01/2022
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC (NEWARK NJ)
MA
03/28/2016 - 12/31/2020
MML DISTRIBUTORS, LLC (SPRINGFIELD MA)
IA
11/18/2013 - 09/08/2015
CUNA BROKERAGE SERVICES, INC. (WAVERLY IA)
IL
02/17/2012 - 01/03/2013
DWS INVESTMENTS DISTRIBUTORS, INC (CHICAGO IL)
CO
05/23/2008 - 02/14/2012
OPPENHEIMERFUNDS DISTRIBUTOR, INC. (CENTENNIAL CO)
GA
10/29/2004 - 01/22/2008
MUTUAL OF AMERICA LIFE INSURANCE COMPANY (ATLANTA GA)
GA
10/29/2004 - 01/22/2008
MUTUAL OF AMERICA SECURITIES CORPORATION (ATLANTA GA)
IA
Issued 11/14/2023
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/09/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/28/2004
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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