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Alan Moore
33 Years of Experience
Mandeville, LA
2 DisclosuresBroker
Alan Moore is a registered investment advisor at Raymond James & Associates, INC., based in Mandeville, LA, with 33 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 531,617 clients with $500B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5669 advisors
IM Fee
Planning only
Assets Under Management
$501.0B
Fee Structure
Investment management only (planning not offered)
Hourly Rate:Up to $400/hr
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Location
1540 W Causeway Approach, Mandeville, LA, 70471
Get directionsHistory
Regulatory History (2)
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Customer Dispute
February 2013Denied
Customer Dispute
July 2004Denied
Other Business Activities
Alan is a board member of The Reserve Homeowner's Association since 2013, dedicating minimal time to managing the association's business decisions. This activity is not investment-related.
Employment History
Current Registrations
Raymond James & Associates, INC.
June 2018 - Present · 8 yrs 1 mo
Raymond James & Associates, INC.Broker
June 2018 - Present · 8 yrs 1 mo
Previous Registrations
Wells Fargo Clearing Services, LLC
July 2004 - June 2018 · 13 yrs 11 mos
Wells Fargo Clearing Services, LLCBroker
March 2004 - June 2018 · 14 yrs 3 mos
Legg Mason Wood Walker, IncorporatedBroker
August 1995 - March 2004 · 8 yrs 7 mos
Painewebber IncorporatedBroker
November 1992 - September 1995 · 2 yrs 10 mos
State Registrations18 states
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AdvisorBrokerBoth
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.
Exams
No exam information available for this advisor.