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RIA / WealthAdvisordual registered (broker-dealer)37 years in industry

MITCHELL BRUCE MOORE

Advisor at LPL FINANCIAL LLC

LITTLETON, CO | GRAHAM, TX

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Search this name across graphsid dfx:ria:2ca091c6-0a3e-9356-610a-bfcb322b2518

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:10 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 1
On other graphs: 0
Observed: Jan 1, 1999 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: Jun 27, 1989earliest registration or exam on IAPD
Years in industry: 37derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 2
Exams: S66|S63
First exam: Jun 27, 1989
First registration: Jan 1, 1999
Dual registered: yes, broker-dealer
Other names: MITCH MOORE|MITCHELL BRUCE MOORE
IAPD individual key: 1962436

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	Nov 18, 2024	n/a	yes	GRAHAM, TX\|LITTLETON, CO	Current employment
OSAIC WEALTH, INC.	Bd affiliated wealth	Jan 19, 2024	Nov 21, 2024	no	GOLDEN, CO	Previous registration
WOODBURY FINANCIAL SERVICES, INC.	Former SEC adviser	Jul 10, 2018	Jan 19, 2024	no	GOLDEN, CO\|GOLDEN, CO\|MCKINNEY, TX	Previous registration
NEXT FINANCIAL GROUP, INC.	Former SEC adviser	Jul 29, 2005	Jul 10, 2018	no	GOLDEN, CO\|GOLDEN, CO	Previous registration
Cedrus	Former SEC adviser	Aug 14, 2003	Oct 5, 2005	no	GOLDEN, CO	Previous registration
CAPWEST SECURITIES, INC.	n/a	Jan 2, 2003	Jun 19, 2003	no	AURORA, CO	Previous registration
BLAKE STREET BCM MANAGEMENT LLC	n/a	Nov 10, 2000	Nov 18, 2002	no	DENVER, CO	Previous registration
BLAKE STREET ADVISORS LLC	n/a	Jan 1, 1999	Nov 15, 2002	no	DENVER, CO	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
OSAIC WEALTH, INC.	LPL FINANCIAL LLC	Nov 21, 2024	Nov 18, 2024	-3	Firm change	Ibd to ibd
WOODBURY FINANCIAL SERVICES, INC.	OSAIC WEALTH, INC.	Jan 19, 2024	Jan 19, 2024	0	Bulk transfer	Ibd to ibd
NEXT FINANCIAL GROUP, INC.	WOODBURY FINANCIAL SERVICES, INC.	Jul 10, 2018	Jul 10, 2018	0	Firm change	RIA to ibd
Cedrus	NEXT FINANCIAL GROUP, INC.	Oct 5, 2005	Jul 29, 2005	-68	Firm change after gap	Other
CAPWEST SECURITIES, INC.	Cedrus	Jun 19, 2003	Aug 14, 2003	56	Firm change	Other
BLAKE STREET BCM MANAGEMENT LLC	CAPWEST SECURITIES, INC.	Nov 18, 2002	Jan 2, 2003	45	Firm change	Other
BLAKE STREET ADVISORS LLC	BLAKE STREET BCM MANAGEMENT LLC	Nov 15, 2002	Nov 10, 2000	-735	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
23131:6413:CO:2024-11-08	Nov 21, 2024	Nov 18, 2024	GOLDEN, CO	Firm change
46214:421:CO:2018-07-10	Jul 10, 2018	Jul 10, 2018	GOLDEN, CO	Firm change

Relationships

Registered with (8)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Nov 18, 2024 to presentfactForm ADV
→ OSAIC WEALTH, INC.Registered adviserregistration: previous registration
Jan 19, 2024 to Nov 21, 2024factForm ADV
→ WOODBURY FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Jul 10, 2018 to Jan 19, 2024factForm ADV
→ NEXT FINANCIAL GROUP, INC.Registered adviserregistration: previous registration
Jul 29, 2005 to Jul 10, 2018factForm ADV
→ CEDRUSRegistered adviserregistration: previous registration
Aug 14, 2003 to Oct 5, 2005factForm ADV
→ CAPWEST SECURITIES, INC.Registered adviserregistration: previous registration
Jan 2, 2003 to Jun 19, 2003factForm ADV
→ BLAKE STREET BCM MANAGEMENT LLCRegistered adviserregistration: previous registration
Nov 10, 2000 to Nov 18, 2002factForm ADV
→ BLAKE STREET ADVISORS LLCRegistered adviserregistration: previous registration
Jan 1, 1999 to Nov 15, 2002factForm ADV

Dated events

Occurred
Nov 21, 2024
Advisor changed firm
Mitchell Bruce Moore left Osaic Wealth, Inc. for Lpl Financial Llc (registered 2024-11-18)
Form ADVobserved 5 days ago