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Matthew P Moore

Guggenheim Securities, LLC

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About Matthew P Moore

Matthew Moore is a securities professional with over 20 years of experience in the financial services industry. Matthew is currently registered with Guggenheim Securities, LLC and holds Series 7, 63, SIE and 99TO licenses. Prior to joining Guggenheim Securities, LLC, Matthew worked at MF Global Inc., Cantor Fitzgerald & Co., Barclays Capital Inc. and Bear, Stearns & Co. Inc.. Matthew has a diverse background in financial services, including experience in trading, sales and operations.

Firm Information

Matthew Moore is currently registered with Guggenheim Securities, LLC. Guggenheim Securities, LLC is a Limited Liability Company formed in January 1999. The firm is registered with the SEC and all 50 states, as well as the District of Columbia, Puerto Rico, and the U.S. Virgin Islands.

Not reported

Assets Under Management

Not reported

Total Clients

107

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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Matthew Moore’s Registration & Firm History

NY

09/18/2012 - Present

Guggenheim Securities, LLC (NEW YORK NY)

NY

10/22/2009 - 12/06/2011

MF GLOBAL INC. (NEW YORK NY)

NY

04/02/2008 - 11/04/2008

CANTOR FITZGERALD & CO. (NEW YORK NY)

NY

04/24/2007 - 03/07/2008

BARCLAYS CAPITAL INC. (NEW YORK NY)

NY

09/01/2004 - 02/15/2007

BEAR, STEARNS & CO. INC. (NEW YORK NY)

MA

01/13/2004 - 05/19/2004

MML INVESTORS SERVICES, INC. (SPRINGFIELD MA)

NY

09/13/2002 - 07/29/2003

DAVID LERNER ASSOCIATES, INC. (SYOSSET NY)

NY

12/17/2001 - 05/22/2002

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

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Licenses & Designations

BC

Issued 01/16/2002

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/13/2001

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Matthew P Moore.
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