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Detailed Report
MICHELLE RENE MOORE
MICHELLE RENE MOORE-PENICHE
CRD#: 2878800
IA
Investment Adviser
B
Broker
RAYMOND JAMES & ASSOCIATES, INC.CRD#: 705 301 North Lake Avenue
Suite 1150
Pasadena, CA 91101
Registration History
199820002002200420062008201020122014201620182020202220242026IARAYMOND JAMES & ASSOCIATES, INC. (CRD# 705)2016 - Present (8 years)BRAYMOND JAMES & ASSOCIATES, INC. (CRD# 705)2013 - Present (11 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2009 - 2013 (3 years)BBANC OF AMERICA INVESTMENT SER... (CRD# 16361)1999 - 2009 (10 years)BBA INVESTMENT SERVICES, INC. (CRD# 12965)1997 - 1999 (2 years)
License(s)

State Registrations

B
Arizona 5/21/2013
B
New York 4/19/2024
B
California 5/21/2013
B
North Carolina 2/24/2020
IA
California 11/30/2016
B
Texas 5/21/2013
B
Connecticut 1/31/2022
IA
Texas 5/16/2022
B
Florida 6/24/2024
B
Virginia 5/21/2013
B
Idaho 1/31/2022
B
Washington 5/21/2013
B
Nevada 5/21/2013
B
Wyoming 5/25/2018

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705)
301 North Lake Avenue Suite 1150, Pasadena, CA 91101
DOWNEY, CA
Registered with this firm since 11/30/2016
B
RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705)
301 North Lake Avenue Suite 1150, Pasadena, CA 91101
DOWNEY, CA
Registered with this firm since 5/21/2013
Previous Registration(s)
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B
 10/23/2009 - 05/17/2013 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) BEVERLY HILLS, CA
B
 07/12/1999 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) LONG BEACH, CA
B
 04/30/1997 - 07/12/1999 BA INVESTMENT SERVICES, INC. (CRD#:12965) OAKLAND, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.