Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roger? Claim Your ProfileRoger Warren Moore is an active investment advisor representative with Raymond James Financial Services Advisors, Inc. Roger has been in the financial services industry for over 24 years and holds a Series 7, Series 31, Series 63 and Series 65 license. Roger has also passed the Securities Industry Essentials Examination. Roger is registered to provide investment advice and securities brokerage services in 21 states. Prior to joining Raymond James Financial Services Advisors, Inc., Roger was employed by MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, BANC OF AMERICA INVESTMENT SERVICES, INC., CITIGROUP GLOBAL MARKETS INC., MORGAN STANLEY DW INC. and DMG SECURITIES, INC. Roger has provided financial and investment advice to individuals, families, businesses, and institutions.
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.
Hourly & fixed rate consultations
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.
Per participant (erisa)
1
2
MD
12/14/2009 - Present
Raymond James Financial Services Advisors, Inc. (SEVERNA PARK MD)
MD
10/23/2009 - 12/14/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (GREENBELT MD)
MD
11/17/2006 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (GREENBELT MD)
MD
08/10/2001 - 11/30/2006
CITIGROUP GLOBAL MARKETS INC. (ANNAPOLIS MD)
NY
09/21/1998 - 08/15/2001
MORGAN STANLEY DW INC. (PURCHASE NY)
VA
03/24/1998 - 09/14/1998
DMG SECURITIES, INC. (GREAT FALLS VA)
IA
Issued 10/01/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/30/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/03/1998
Series 31 - Futures Managed Funds Examination
BC
Issued 03/23/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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