Cynthia Kay 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

• 11/2004 → Present
  Lpl Financial Llc
  Platte City, MO

Other Businesses

1. 12/2/2004: MOORE RETIREMENT SERVICES - Investment Related - THIRD PARTY ADMINISTRATOR (TPA). 2. 5/24/2012: SMILES DELIVERED - Not Investment Related - Other- Family Business - TIME SPENT 10% - MY HUSBAND AND I ARE WANTING TO PURCHASE AN EXISTING LOCAL GIFT BASKET CO. (SMILES DELIVERED). HIS PLAN IS TO TERMINATE HIS JOB AND TAKE THIS OVER FULL TIME. MY ROLE WOULD BE TO HELP HIM MARKET, PUT BASKETS TOGETHER AND PAY BILLS. 3. 2/19/2013: MOORE FINANCIAL, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 4. 12/11/2020 - Personal Financial Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 11/27/2020 - 40 Hours Per Month/1 Hour During Securities Trading.

Exams

• S65 Uniform Investment Adviser Law Examination
  2006-03-14
• S63 Uniform Securities Agent State Law Examination
  2003-03-31

Other Names

• Cynthia Kay Morin