Judy Moore is a registered investment advisor at Prospera Financial Services, INC., based in Austin, TX, with 50 years of industry experience. Their practice areas include Estate Planning, Retirement Planning. Their firm serves 19,103 clients with $12B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Prospera Financial Services offers investment management through various programs. The fees are based on a percentage of your portfolio's value and are negotiable, but the maximum annual fee is 2.15%. The specific fee and services are agreed upon in an advisory agreement. Fees are typically deducted from your account. Some programs may have additional fees, such as transaction costs or sub-account fees. Prospera also participates in revenue sharing with custodians and other third parties, which creates a conflict of interest.
Location
Austin, TX
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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.
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Judy is an independent distributor for Youngevity, selling nutrition and skin care products, dedicating a few hours per week. She also volunteers as a precinct chairperson, spending minimal time on this activity.
Employment History
Current Registrations
Prospera Financial Services, INC.
Prospera Financial Services, INC.Broker
Previous Registrations
Addison Securities, INC.Broker
Principal Financial Securities,inc.Broker
Rotan Mosle INC.Broker
Drexel Burnham Lambert IncorporatedBroker
State Registrations11 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.