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Inactive

Robert Duayne Moore

Sgl Financial, LLC

Norman, OK

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Current Employers
Sgl Financial, Llc

1130 W Lake Cook Road Suite 150, Buffalo Grove, IL 60089 • United States

Current Registrations

AuthorityCategoryStatusDate
OK RA APPROVED 2024-09-18
  • OK RA
    APPROVED
    Since 2024-09-18

Branch Locations

1800 North Interstate Drive Suite 114, Norman, OK 73071 • 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
Moore Tax And Financial Services Norman OK 08/2005 Present
Wealth Financial Advisory Services, Llc Norman OK 10/2013 Present
  • 08/2005 → Present
    Moore Tax And Financial Services
    Norman, OK
  • 10/2013 → Present
    Wealth Financial Advisory Services, Llc
    Norman, OK
Previous Registrations
  • 2008-01-04 → 2012-11-09
    American Investment Services
    Ardmore, OK
  • 2007-10-04 → 2008-07-10
    Envision Investment Advisors, Llc
    Ardmore, OK
    Omaha, NE
Other Businesses

MOORE TAX AND FINANCIAL SERVICES - ENGAGED IN THE SALE OF INSURANCE PRODUCTS - LIFE, HEALTH, LONG-TERM CARE, BASIC INCOME TAX PREPARATION

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-10-03
S63 Uniform Securities Agent State Law Examination 1991-02-04
  • S65 Uniform Investment Adviser Law Examination
    2007-10-03
  • S63 Uniform Securities Agent State Law Examination
    1991-02-04
Other Names
  • Rod Moore

View on SEC IAPD

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Other Offices

AMERIPRISE FINANCIAL SERVICES, LLC · NORMAN, OK
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC · NORMAN, OK
LPL FINANCIAL LLC · NORMAN, OK
EDWARD JONES · NORMAN, OK
STATE FARM INVESTMENT MANAGEMENT CORP. · Norman, OK
CETERA INVESTMENT ADVISERS LLC · NORMAN, OK
HILLTOP SECURITIES INC. · NORMAN, OK
LPL FINANCIAL LLC · NORMAN, OK

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