Carl Moore
Carl Moore is a registered investment advisor at Osaic Wealth, INC., based in Raleigh, NC, with 42 years of industry experience. Carl operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Business Owners, Education Planning, Estate Planning, Investment Management, and 1 more. Their firm serves 574,829 clients with $200B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Osaic Wealth offers investment management through several platforms, including Advisor Managed Portfolios, Unified Managed Accounts, and Signator Managed Account Platform. Fees are negotiable and based on a percentage of the assets in your account. The fees cover advisory services, custodial services, and in some cases, transaction costs. Mutual funds and ETFs within these accounts have their own internal fees. Some programs have wrap accounts where all costs are bundled into one fee.
Location
Raleigh, NC
Get directionsHistory
Regulatory History (3)
Customer Dispute
December 2013Customer Dispute
April 2005Customer Dispute
October 1993Other Business ActivitiesSells Insurance
Carl is an Investment Advisor Representative with Securities America Advisors since 2013. He also owns Carl Moore Financial Services, where he works as an insurance agent, dedicating minimal time to finding appropriate insurance products for clients.
Employment History
Current Registrations
Osaic Wealth, INC.Broker
Osaic Wealth, INC.
Previous Registrations
Securities America, INC.Broker
Securities America Advisors, INC.
Bb&t Securities, LLC
Bb&t Securities, LLCBroker
Scott & Stringfellow, LLC
Scott & Stringfellow, LLCBroker
A. G. Edwards & Sons, INC.Broker
Prudential-Bache Securities INC.Broker
State Registrations8 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.