Thomas Moore is a registered investment advisor, based in Ann Arbor, MI, with 21 years of industry experience.
Location
300 Parkland Plaza, Ann Arbor, MI, 48103
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Regulatory History
Clean regulatory record
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
Thomas is an independent agent appointed with various insurance companies for fixed insurance products.
Employment History
Current Registrations
Parkland Securities, LLCBroker
April 2011 - Present · 15 yrs 1 mo
Spc
April 2011 - Present · 15 yrs 1 mo
Previous Registrations
Presidential Brokerage, INC.
May 2009 - April 2011 · 1 yr 11 mos
Presidential Brokerage, INC.Broker
May 2009 - April 2011 · 1 yr 11 mos
UBS Financial Services INC.Broker
August 2006 - May 2009 · 2 yrs 9 mos
UBS Financial Services INC.
August 2006 - May 2009 · 2 yrs 9 mos
Piper Jaffray & CO.
November 2004 - August 2006 · 1 yr 9 mos
Piper Jaffray & CO.Broker
November 2004 - August 2006 · 1 yr 9 mos
State Registrations1 state
CO
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.