Nelson 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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 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

• 2019-10-01 → 2025-04-02
  Vanguard Advisers, Inc.
  Scottsdale, AZ

Exams

• S66 Uniform Combined State Law Examination
  2019-09-06
• S63 Uniform Securities Agent State Law Examination
  2016-11-21

Designations

• Certified Financial Planner

Other Names

• Nelson Ernest Moore