Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Patrick? Claim Your ProfilePatrick Moore is a financial advisor based in Dallas, Texas. Patrick has been working in the financial industry since 1992 and is currently registered with UBS Financial Services Inc. Patrick has a wide range of experience in the financial services industry. Patrick's previous employers include Credit Suisse Securities (USA) LLC, Lehman Brothers Inc., Morgan Stanley DW Inc., Paine Webber Incorporated, Bear, Stearns & Co. Inc., and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Patrick holds a variety of licenses and certifications, including Series 7, Series 31, Series 63, and Series 66. Patrick is also a Registered Investment Advisor in the state of Texas.
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.
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.
See schedule d - miscellaneous
1
2
TX
11/17/2015 - Present
UBS Financial Services Inc. (DALLAS TX)
TX
08/21/2008 - 12/09/2015
CREDIT SUISSE SECURITIES (USA) LLC (DALLAS TX)
TX
08/05/2005 - 09/05/2008
LEHMAN BROTHERS INC. (DALLAS TX)
NY
07/27/2000 - 08/09/2005
MORGAN STANLEY DW INC. (PURCHASE NY)
NJ
10/16/1996 - 08/02/2000
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
10/15/1993 - 10/10/1996
BEAR, STEARNS & CO. INC. (NEW YORK NY)
NY
12/08/1992 - 10/29/1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
TX
10/30/1992 - 01/01/1993
PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC. (EL PASO TX)
BOTH
Issued 05/03/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/18/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/07/2002
Series 31 - Futures Managed Funds Examination
BC
Issued 10/29/1992
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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