Cynthia Nowicki Moore

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
CA	RA	APP_PEND_IARCE	2026-01-01
TX	RA	APPROVED_RES	2025-09-30

CA RA
APP_PEND_IARCE

Since 2026-01-01
TX RA
APPROVED_RES

Since 2025-09-30

Branch Locations

Novato, CA • United States

4707 Executive Dr, San Diego, CA 92121-3091 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Royal Alliance Associates, Inc.	Mill Valley	CA	02/2010	09/2025
Lpl Financial Llc	Novato	CA	09/2025	Present

02/2010 → 09/2025

Royal Alliance Associates, Inc.

Mill Valley, CA
09/2025 → Present

Lpl Financial Llc

Novato, CA

Previous Registrations

2010-03-03 → 2025-10-02

Osaic Wealth, Inc.

Novato, CA

Los Angeles, CA
2010-03-02 → 2025-09-29

Nwf Advisory Services Inc

Mill Valley, CA

Los Angeles, CA
1997-07-08 → 2010-02-18

Protected Investors Of America

Mill Valley, CA

Mill Valley, CA

Other Businesses

1) 09/2025 - Non-Variable Insurance - Cyndi Moore / Inv Related / Novato CA 94949 / Start date 02/28/1998 - 15 hrs per month - 5 % time spent 2) 09/2025 - Moore Wealth Management and Financial Planning / DBA for LPL Business (entity for LPL business) Inv Related / At reported business location (s) 5 % time spent

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-02-17
S63	Uniform Securities Agent State Law Examination	1994-05-27

S65 Uniform Investment Adviser Law Examination

1999-02-17
S63 Uniform Securities Agent State Law Examination

1994-05-27

Other Names

Cynthia Nowicki Moore

View on SEC IAPD