Individual Firm
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ROBERT JOSEPH MOORE
ROBERT J. MOORE, ROBERT MOORE
CRD#: 2445455
IA
B
PRIVATE ADVISOR GROUP, LLCCRD#: 155216 San Diego, CA
LPL FINANCIAL LLCCRD#: 6413 SAN DIEGO, CA
0
Disclosures
16
Years of Experience
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State Registrations
IA
California 12/14/2020
SRO Registrations
B
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IA
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/02/2019 - 05/13/2020 | San Diego, CA | |
B | 07/13/2016 - 04/01/2019 | SAN DIEGO, CA | |
B | 03/02/2009 - 03/16/2015 | SAN DIEGO, CA | |
B | 01/02/1996 - 08/13/1996 | HARTFORD, CT | |
B | 01/26/1994 - 01/02/1996 | DENVER, CO |
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B
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.
IA
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.