Unclaimed Profile

Robert Emmett Moore

CONCEPT CAPITAL MARKETS, LLC·GARDEN CITY, New York

SIE, Series 7, Series 24, Series 55, Series 57TO, Series 63, Series 66, Series 79TO, Series 87, Series 99TOClean record15 years registeredCONCEPT CAPITAL MARKETS, LLC

1010 FRANKLIN AVENUE, GARDEN CITY, NY 11530-5942CRD# 1040197Firm CRD# 153397

Profile Verification

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

Identity

Robert Emmett Moore · GARDEN CITY, NY

Registration

CRD #1040197 · CONCEPT CAPITAL MARKETS, LLC · 15 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: CONCEPT CAPITAL MARKETS, LLC

COWEN PRIME ADVISORS LLC

Aug 2021 – Aug 2023

NEW YORK, NY

CONCEPT CAPITAL MARKETS, LLC

Feb 2021 – Mar 2011

NEW YORK, NY

CONCEPT CAPITAL MARKETS, LLC

Feb 2012 – Mar 2011

NEW YORK, NY

CONCEPT CAPITAL MARKETS, LLC

Oct 2011 – Mar 2011

NEW YORK, NY

CONCEPT CAPITAL MARKETS, LLC

Aug 2011 – Mar 2011

NEW YORK, NY

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 24

Series 55

Series 57TO

Series 63

Series 66

Series 79TO

Series 87

Series 99TO

Registration record

First registered · August 5, 2011

Years registered · 15

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD, as of 14 August 2026. Verify on FINRA BrokerCheck →

Firm Overview

Firm

COWEN PRIME SERVICES LLC

CRD 153397 · SEC 801-72184

AUM

$359M

Regulatory assets under management

Employees

200 client accounts

Services offered by COWEN PRIME SERVICES LLC

Per Form ADV

Portfolio management (individuals)

Selection of other advisers

Client types served by the firm

Per Form ADV

Individuals

View all advisors at COWEN PRIME SERVICES LLC →

Introduction

Speak with Robert Emmett

No cost, no commitment — we'll confirm availability and reply within 2 business days.

Not sure if Robert Emmett is the right fit? Take our 2-minute quiz →

Looking for a financial advisor in GARDEN CITY?

Browse all registered financial advisors in GARDEN CITY, New York or claim this profile if it's yours.

Browse GARDEN CITY Advisors Are you this advisor? Claim profile

Frequently Asked Questions

What services does Robert Emmett Moore offer?

Robert Emmett Moore specializes in Investment Management, Wealth Management.

What are Robert Emmett Moore's credentials?

Robert Emmett Moore is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Robert Emmett Moore located?

Robert Emmett Moore is based in GARDEN CITY, New York, last registered with CONCEPT CAPITAL MARKETS, LLC.

How does Robert Emmett Moore charge for services?

Robert Emmett Moore's firm is compensated through percentage of aum, commissions. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is CONCEPT CAPITAL MARKETS, LLC?

CONCEPT CAPITAL MARKETS, LLC has approximately 4 employees and manages $359M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

Not sure what to look for in an advisor?

Try our free Advisor Match Quiz →