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Derek B Moore

Morgan Stanley

Westlake Village, CA

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Current Employers
Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2024-02-23
TX RA APPROVED_RES 2024-02-23
  • CA RA
    APPROVED
    Since 2024-02-23
  • TX RA
    APPROVED_RES
    Since 2024-02-23

Branch Locations

2829 Townsgate Road Suite 200, Westlake Village, CA 91361 • 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
Wells Fargo Advisors Llc Malibu CA 08/2016 11/2016
Wells Fargo Bank, Na Pacific Palisades CA 03/2011 11/2023
Wells Fargo Clearing Services, Llc Pacific Palisades CA 11/2016 11/2023
Morgan Stanley Westlake Village CA 02/2024 Present
  • 08/2016 → 11/2016
    Wells Fargo Advisors Llc
    Malibu, CA
  • 03/2011 → 11/2023
    Wells Fargo Bank, Na
    Pacific Palisades, CA
  • 11/2016 → 11/2023
    Wells Fargo Clearing Services, Llc
    Pacific Palisades, CA
  • 02/2024 → Present
    Morgan Stanley
    Westlake Village, CA
Previous Registrations
  • 2021-01-11 → 2023-11-29
    Wells Fargo Clearing Services, Llc
    Woodland Hills, CA
    Westlake Village, CA
    Los Angeles, CA
    Malibu, CA
    Beverly Hills, CA
    Pacific Palisades, CA
    Los Angeles, CA
    Encino, CA
    Pasadena, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-01-11
S63 Uniform Securities Agent State Law Examination 2016-10-18
  • S66 Uniform Combined State Law Examination
    2021-01-11
  • S63 Uniform Securities Agent State Law Examination
    2016-10-18
Other Names
  • Derek Moore
  • Derek Brandon Moore
  • Derek Brandan Moore

View on SEC IAPD

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Other Offices

MANCHESTER FINANCIAL INC · WESTLAKE VILLAGE, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · WESTLAKE VILLAGE, CA
EAGLE STRATEGIES LLC · WESTLAKE VILLAGE, CA
RKS MANAGEMENT, INC. · WESTLAKE VILLAGE, CA
MERCER GLOBAL ADVISORS INC. · Westlake Village, CA
LPL FINANCIAL LLC · WESTLAKE VILLAGE, CA
MML INVESTORS SERVICES, LLC · WESTLAKE VILLAGE, CA
EDWARD JONES · Westlake Village, CA

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