David Moore is a CFP-designated registered investment advisor, based in Willaimsville, NY, with 41 years of industry experience.
Location
Willaimsville, NY
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
David is an insurance agent selling life insurance, a registered representative with Peak Brokerage Services, an IAR with Independent Solutions Wealth Management, LLC, and a wealth manager for The Financial Guys. Each of these activities takes about 10-20% of his time.
Employment History
Current Registrations
Peak Brokerage Services, LLCBroker
Independent Solutions Wealth Management, LLC
Previous Registrations
Cambridge Investment Research Advisors, INC.
Cambridge Investment Research, INC.Broker
MML Investors Services, LLCBroker
Change Path LLC
MML Investors Services, LLCBroker
American Portfolios Advisors, INC
American Portfolios Financial Services, INC.Broker
Client One Securities LLCBroker
Client One Securities LLCBroker
Northwestern Mutual Investment Services, LLCBroker
Robert W. Baird & CO. IncorporatedBroker
Main Street Management CompanyBroker
The Planner's Securities Group, INC.Broker
E. F. Hutton & Company INCBroker
State Registrations6 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.