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RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

ROGER WARREN MOORE

Advisor at RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

SEVERNA PARK, MD

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Search this name across graphsid dfx:ria:a1012b86-5d4e-c10a-9f73-93bb2b791e0e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:24 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Aug 23, 2001 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: RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
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: Mar 30, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 16derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Mar 30, 1998
First registration: Aug 23, 2001
Dual registered: yes, broker-dealer
IAPD individual key: 3030323

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
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Bd affiliated wealth	Dec 14, 2009	n/a	yes	SEVERNA PARK, MD	Current employment
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Oct 23, 2009	Dec 14, 2009	no	GREENBELT, MD	Previous registration
BANC OF AMERICA INVESTMENT SERVICES, INC.	n/a	Nov 17, 2006	Oct 23, 2009	no	GREENBELT, MD\|COLUMBIA, MD	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Aug 23, 2001	Nov 30, 2006	no	ANNAPOLIS, MD\|ANNAPOLIS, MD	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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Dec 14, 2009	Dec 14, 2009	0	Firm change	Other
BANC OF AMERICA INVESTMENT SERVICES, INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Oct 23, 2009	Oct 23, 2009	0	Bulk transfer	Other
CITIGROUP GLOBAL MARKETS INC.	BANC OF AMERICA INVESTMENT SERVICES, INC.	Nov 30, 2006	Nov 17, 2006	-13	Firm change	Other

Relationships

Registered with (4)

→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: current employment
Dec 14, 2009 to presentfactForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Oct 23, 2009 to Dec 14, 2009factForm ADV
→ BANC OF AMERICA INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Nov 17, 2006 to Oct 23, 2009factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Aug 23, 2001 to Nov 30, 2006factForm ADV

Dated events

No dated event names this entity yet.