Martin Alexander Moore

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2021-09-14
MI	RA	APPROVED	2017-03-30

TX RA
APPROVED_RES

Since 2021-09-14
MI RA
APPROVED

Since 2017-03-30

Branch Locations

Portland, MI • 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

Organization	City	State	From	To
Lpl Financial Llc	Portland	MI	12/2005	Present

12/2005 → Present

Lpl Financial Llc

Portland, MI

Other Businesses

(1) 3/10/2006 - DBA: Perennial Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). (2) 07/09/2024 - Non-Inv Related - Six Lakes, MI - Other - Tree Farm - Started: 1/10/2022 - 20 Hrs/Mo; 0 Hr During Trading.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2017-03-30
S63	Uniform Securities Agent State Law Examination	2000-08-25

S66 Uniform Combined State Law Examination

2017-03-30
S63 Uniform Securities Agent State Law Examination

2000-08-25

Other Names

Alex Moore

View on SEC IAPD