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KIM LOUISE MOORE
KIM L MOORE
CRD#: 1567570
IA
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VALIC FINANCIAL ADVISORS, INC.CRD#: 42803 451 SW 10TH STREET
SUITE 101
RENTON, WA 98057
SUITE 101
RENTON, WA 98057
0
Disclosures
19
Years of Experience
View By:
State Registrations
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California 12/1/2021
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New Mexico 3/11/2021
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California 12/3/2021
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North Carolina 7/20/2023
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Indiana 3/30/2017
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North Carolina 8/1/2023
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Indiana 3/11/2021
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Oregon 6/2/2020
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Nevada 10/18/2017
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Oregon 6/2/2020
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Nevada 11/1/2017
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Washington 8/13/2015
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New Mexico 3/10/2021
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Washington 8/13/2015
SRO Registrations
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View Exams Passed by the individual in the detailed report
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Registered with this firm since 8/13/2015
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Registered with this firm since 8/13/2015
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/14/2013 - 07/02/2015 | SEATTLE, WA | |
B | 10/14/2013 - 07/02/2015 | SEATTLE, WA | |
IA | 10/01/2012 - 10/22/2013 | DENVER, CO | |
B | 09/26/2012 - 10/21/2013 | DENVER, CO | |
IA | 10/21/2010 - 09/15/2011 | SEATTLE, WA | |
B | 04/04/2011 - 09/15/2011 | SEATTLE, WA | |
IA | 01/01/2005 - 10/21/2010 | SEATTLE, WA | |
B | 04/19/2005 - 10/21/2010 | SEATTLE, WA |
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.