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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

John Eric Moore

Advisor at LPL FINANCIAL LLC

SAN ANTONIO, TX

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Search this name across graphsid dfx:ria:108f912b-d7d7-1368-7e7f-c5ddcf4c9f16

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:09 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jan 4, 2005 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: LPL FINANCIAL LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 30, 2003earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Dec 30, 2003
First registration: Jan 4, 2005
Dual registered: yes, broker-dealer
Other names: JOHN ERIC MOORE|JOHN E MOORE|JOHN ERIC MOORE|JOHN ERIC MOORE
IAPD individual key: 4733333

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
LPL FINANCIAL LLC	Bd affiliated wealth	Jun 9, 2023	n/a	yes	SAN ANTONIO, TX	Current employment
Spc	Bd affiliated wealth	Dec 17, 2018	Jun 9, 2023	no	SAN ANTONIO, TX\|ANN ARBOR, MI	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Jun 22, 2018	Jan 2, 2019	no	San Antonio, TX	Previous registration
INVESTMENT PROFESSIONALS, INC.	Former SEC adviser	Jun 29, 2016	Sep 24, 2018	no	SAN ANTONIO, TX\|SAN ANTONIO, TX\|SAN ANTONIO, TX\|SAN ANTONIO, TX\|Kerrville, TX\|Spring Branch, TX\|SAN ANTONIO, TX\|SAN ANTONIO, TX\|SAN ANTONIO, TX	Previous registration
FIRST COMMAND BANK	n/a	Jan 4, 2005	Aug 2, 2005	no	FORT WORTH, TX	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
Spc	LPL FINANCIAL LLC	Jun 9, 2023	Jun 9, 2023	0	Firm change	Ibd to ibd
AMERIPRISE FINANCIAL SERVICES, LLC	Spc	Jan 2, 2019	Dec 17, 2018	-16	Firm change	Ibd to ibd
INVESTMENT PROFESSIONALS, INC.	AMERIPRISE FINANCIAL SERVICES, LLC	Sep 24, 2018	Jun 22, 2018	-94	Bulk transfer	Ibd to ibd
FIRST COMMAND BANK	INVESTMENT PROFESSIONALS, INC.	Aug 2, 2005	Jun 29, 2016	3,984	Firm change after gap	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
110692:6413:MI:2023-06-02	Jun 9, 2023	Jun 9, 2023	ANN ARBOR, MI	Firm change

Relationships

Registered with (5)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Jun 9, 2023 to presentfactForm ADV
→ SPCRegistered adviserregistration: previous registration
Dec 17, 2018 to Jun 9, 2023factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Jun 22, 2018 to Jan 2, 2019factForm ADV
→ INVESTMENT PROFESSIONALS, INC.Registered adviserregistration: previous registration
Jun 29, 2016 to Sep 24, 2018factForm ADV
→ FIRST COMMAND BANKRegistered adviserregistration: previous registration
Jan 4, 2005 to Aug 2, 2005factForm ADV

Dated events

Occurred
Jun 9, 2023
Advisor changed firm
John Eric Moore left Spc for Lpl Financial Llc (registered 2023-06-09)
Form ADVobserved 6 days ago