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Katherine A Moore

Blackrock Investments, LLC

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About Katherine A Moore

Katherine Moore is a financial advisor with Blackrock Investments, LLC. Katherine has over 13 years of experience in the financial services industry. Katherine holds the Series 3, 7, 24, 63, 86, and 87 securities licenses. Katherine is registered in all 50 states and the District of Columbia. Prior to joining Blackrock Investments, LLC, Katherine was employed by Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley Distribution, Inc. and Morgan Stanley DW Inc.

Firm Information

Katherine Moore is currently registered with Blackrock Investments, LLC. Blackrock Investments, LLC is a Limited Liability Company formed on October 21, 1994. The firm is registered with the Securities and Exchange Commission and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands. Blackrock Investments has been involved in one regulatory event and one arbitration.

Not reported

Assets Under Management

Not reported

Total Clients

280

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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Katherine Moore’s Registration & Firm History

NY

07/05/2016 - Present

Blackrock Investments, LLC (NEW YORK NY)

NY

01/01/2010 - 04/22/2013

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

NY

09/12/2006 - 03/05/2007

MORGAN STANLEY DISTRIBUTION, INC. (NEW YORK NY)

NY

03/26/2004 - 10/10/2006

MORGAN STANLEY DW INC. (PURCHASE NY)

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Licenses & Designations

BC

Issued 07/11/2016

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/28/2017

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/05/2016

Series 7 - General Securities Representative Examination

BC

Issued 01/27/2010

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 01/23/2010

Series 86 - Research Analyst Exam - Part I Analysis Module

BC

Issued 02/14/2006

Series 3 - National Commodity Futures Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Katherine A Moore.
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