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William Moore

Janney Montgomery Scott LLC
27 Years of Experience
Syracuse, NY
1 DisclosureBroker
View SEC Summary
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William Moore is a CFP-designated registered investment advisor at Janney Montgomery Scott LLC, based in Syracuse, NY, with 27 years of industry experience. William is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Charitable Giving, Education Planning, Estate Planning, and 6 more. Their firm serves 243,808 clients with $110B in assets under management.

Janney Montgomery Scott LLC
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
1340 advisors
Number of Clients
243,808 clients
Average Client Portfolio
$452K average
Assets Under Management
$110.1B

Fee Structure

Minimum Investment:$5K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $500K2.00%
$500K - $1.0M2.00%
$1.0M - $2.0M2.00%
$2.0M - $5.0M2.00%
$5.0M - $10.0M2.00%
$10.0M - $25.0M2.00%
$25M+2.00%

Fees represent maximum financial advisor fees; additional third-party manager sub-advisory fees may apply depending on the program. All fees are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

5784 Widewaters Parkway, Suite 2, Syracuse, NY, 13214

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
January 2019
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

William is a board member of Liverpool Turkey Trot LLC, a charitable organization, since April 2024. He attends scheduled meetings, dedicating minimal time each month to this non-investment related activity.

Employment History
Current Registrations
Janney Montgomery Scott LLC
August 2018 - Present · 8 yrs 2 mos
Janney Montgomery Scott LLCBroker
August 2018 - Present · 8 yrs 2 mos
Previous Registrations
Wells Fargo Clearing Services, LLC
January 2008 - September 2018 · 10 yrs 8 mos
Wells Fargo Clearing Services, LLCBroker
January 2008 - September 2018 · 10 yrs 8 mos
A. G. Edwards & Sons, INC.
September 2004 - January 2008 · 3 yrs 4 mos
A. G. Edwards & Sons, INC.Broker
April 1999 - January 2008 · 8 yrs 9 mos
State Registrations29 states
AZCACOCTDCDEFLGAHIILMAMDMEMIMONCNHNJNYOHORPASCSDTNTXVAVTWA
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.
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