Unclaimed Profile

James M Moore

AFA INC.·LAWRENCE, Kansas

SIE, Series 7, Series 66CFPClean record16 years registeredAFA INC.

3705 CLINTON PARKWAY, LAWRENCE, KS 66047-3051CRD# 5785151Firm CRD# 114412

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

James M Moore · LAWRENCE, KS

Registration

CRD #5785151 · AFA INC. · 16 years registered

Brand Profile

Not yet started

Career History

AW SECURITIES

Apr 2023 – present

ALLWORTH FINANCIAL, L.P.

Apr 2023 – present

TWO WEST CAPITAL ADVISORS LLC

Nov 2019 – May 2020

OVERLAND PARK, KS

AFFINITY FINANCIAL ADVISORS

Jan 2014 – Aug 2023

LAWRENCE, KS

CETERA ADVISOR NETWORKS LLC

Jan 2014 – Apr 2023

LAWRENCE, KS

WELLS FARGO ADVISORS, LLC

Jul 2010 – Jan 2014

LAWRENCE, KS

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 66

Registration record

First registered · July 5, 2010

Years registered · 16

Professional designation · CFP

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

AFA INC.

CRD 114412 · SEC 801-62611

AUM

$466M

Regulatory assets under management

Employees

2,278 client accounts

Services offered by AFA INC.

Per Form ADV

Financial planning

Portfolio management (individuals)

Charitable organization or education services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

Nonprofits & Foundations

View all advisors at AFA INC. →

Introduction

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Frequently Asked Questions

What services does James M Moore offer?

James M Moore specializes in Financial Planning, Investment Management. Contact their office in LAWRENCE, Kansas for a consultation.

What are James M Moore's credentials?

James M Moore holds the following professional designations: CFP. These credentials require rigorous education, examination, and ongoing continuing education.

Where is James M Moore located?

James M Moore is based in LAWRENCE, Kansas, working with AFA INC.. Their office serves clients in the LAWRENCE metropolitan area and surrounding communities.

How does James M Moore charge for services?

James M Moore's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is AFA INC.?

AFA INC. has approximately 22 employees and manages $466M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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