Business ProfileforMoore Wealth Management, LLC
Additional business information
The following describes a pending government action that has been formally brought by a government agency but has not yet been resolved. We are providing a summary of the governments allegations, which have not yet been proven.
On August 1, 2018, the Securities Division entered a Consent Order S-16-2092-17-CO01 with Moore Wealth Management, L.L.C. (“Consent Order”). Moore Wealth Management (CRD # 143378) is registered as an investment adviser and Karl Moore (CRD # 274907) is its principal. The Consent Order states that Respondent failed to adopt and implement written policies and procedures reasonably designed to prevent violations of the Securities Act, the investment advisory rules, and the federal securities laws. The Consent Order further states that Respondent employed an unregistered investment adviser representative. The Consent Order further states that these acts violated RCW 21.20.040 and WAC 460-24A-120. The Consent Order includes a $5,000 fine and costs of $1,500. Respondent waived its right to request judicial review of the matter.
For further information, contact the Securities Division of Washington Department of Financial Institutions at (877) 746-4334 or at www.dfi.wa.gov.
At-a-glance
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Business Details
- Location of This Business
- Renton, WA 98057
- BBB File Opened:
- 11/7/2018
- Licensing Information:
- This business is in an industry that may require professional licensing, bonding or registration. BBB encourages you to check with the appropriate agency to be certain any requirements are currently being met.
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0 Customer Complaints
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