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Nelson Moore

LPl Financial LLC

Tempe, AZ

Scottsdale, AZ

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
AZ RA APPROVED 2025-04-22
  • AZ RA
    APPROVED
    Since 2025-04-22

Branch Locations

500 E. Rio Salado Pkwy Building 4, Floor 3, Tempe, AZ 85281 • United States

Scottsdale, AZ • 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
The Vanguard Group, Inc Scottsdale AZ 09/2016 02/2025
Unemployed Newhall CA 05/2016 09/2016
Lpl Financial, Llc Tempe AZ 04/2025 Present
  • 09/2016 → 02/2025
    The Vanguard Group, Inc
    Scottsdale, AZ
  • 05/2016 → 09/2016
    Unemployed
    Newhall, CA
  • 04/2025 → Present
    Lpl Financial, Llc
    Tempe, AZ
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-09-06
S63 Uniform Securities Agent State Law Examination 2016-11-21
  • S66 Uniform Combined State Law Examination
    2019-09-06
  • S63 Uniform Securities Agent State Law Examination
    2016-11-21
Designations
Other Names
  • Nelson Ernest Moore

View on SEC IAPD

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