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Thomas Owen Moore

Spc

Ann Arbor, MI

Aurora, CO

Aurora, CO

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Current Employers
Spc

300 Parkland Plaza, Ann Arbor, MI 48103 • United States

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2025-01-01
  • CO RA
    APPROVED
    Since 2025-01-01

Branch Locations

300 Parkland Plaza, Ann Arbor, MI 48103 • United States

4007 S. Espana Way, Aurora, CO 80013 • United States

Aurora, CO • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Spc Ann Arbor MI 04/2011 Present
Parkland Securities, Llc Ann Arbor MI 08/2014 Present
  • 04/2011 → Present
    Spc
    Ann Arbor, MI
  • 08/2014 → Present
    Parkland Securities, Llc
    Ann Arbor, MI
Previous Registrations
  • 2009-05-08 → 2011-04-05
    Forta Financial Group, Inc.
    Greenwood Village, CO
  • 2006-08-12 → 2009-05-13
    Ubs Financial Services Inc.
    Denver, CO
    Denver, CO
  • 2004-11-26 → 2006-08-12
    Piper Sandler & Co.
    Denver, CO
    Minneapolis, MN
    Denver, CO
Other Businesses

INDEPENDENT AGENT APPOINTED WITH VARIOUS INSURANCE COMPANIES FOR FIXED INSURANCE

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-11-24
  • S66 Uniform Combined State Law Examination
    2004-11-24
Other Names
  • Thomas O Moore, Jr.
  • Thomas O Moore, Jr.
  • Tom Moore
  • Thomas O Moore

View on SEC IAPD

Other Firms

LPL FINANCIAL LLC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
FIRST HEARTLAND CONSULTANTS, INC.
OSAIC ADVISORY SERVICES, LLC
GREYDOG FINANCIAL
EDWARD JONES
J.P. MORGAN SECURITIES LLC
SECURITY FINANCIAL ADVISORS,LLC

Other Investors

WILLIAM ROBERT ELGER
JOHN ALEXANDER MCCLELLAN
JEFFREY STEPHEN SELF
DOUGLAS ALAN VANDERSTELT
MARCUS MAYURKANT TRIVEDI
JENNIFER A. WATSON
SCOTT ARTHUR HAYDEN
DENNIS JOHN CUNNINGHAM

Other Offices

SPC · Ann Arbor, MI
LPL FINANCIAL LLC · ANN ARBOR, MI
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · ANN ARBOR, MI
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · ANN ARBOR, MI
FIRST HEARTLAND CONSULTANTS, INC. · ANN ARBOR, MI
LPL FINANCIAL LLC · ANN ARBOR, MI
OSAIC ADVISORY SERVICES, LLC · Ann Arbor, MI
LPL FINANCIAL LLC · ANN ARBOR, MI

More in Ann Arbor, MI

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