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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)16 years in industry

JAMES M MOORE

Advisor at ALLWORTH FINANCIAL, L.P.

FOLSOM, CA | Lawrence, KS

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Search this name across graphsid dfx:ria:a95bfcb9-d9ce-ac4b-d508-3794893fdaa9

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 9:54 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Jul 5, 2010 to Sep 15, 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: ALLWORTH FINANCIAL, L.P.
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: Jul 2, 2010earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S66
First exam: Jul 2, 2010
First registration: Jul 5, 2010
Dual registered: yes, broker-dealer
Other names: JIM M MOORE
IAPD individual key: 5785151

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
ALLWORTH FINANCIAL, L.P.	Bd affiliated wealth	Apr 26, 2023	n/a	yes	Lawrence, KS\|FOLSOM, CA	Current employment
TWO WEST CAPITAL ADVISORS LLC	Institutional manager	Nov 7, 2019	May 11, 2020	no	OVERLAND PARK, KS	Previous registration
AFFINITY FINANCIAL ADVISORS	Former SEC adviser	Jan 16, 2014	Aug 15, 2023	no	LAWRENCE, KS	Previous registration
CETERA ADVISOR NETWORKS LLC	Former SEC adviser	Jan 6, 2014	Apr 20, 2023	no	LAWRENCE, KS	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jul 5, 2010	Jan 3, 2014	no	LAWRENCE, KS	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
AFFINITY FINANCIAL ADVISORS	TWO WEST CAPITAL ADVISORS LLC	Aug 15, 2023	Nov 7, 2019	-1,377	Firm change after gap	Other
CETERA ADVISOR NETWORKS LLC	AFFINITY FINANCIAL ADVISORS	Apr 20, 2023	Jan 16, 2014	-3,381	Firm change after gap	Other
TWO WEST CAPITAL ADVISORS LLC	ALLWORTH FINANCIAL, L.P.	May 11, 2020	Apr 26, 2023	1,080	Firm change after gap	Other
WELLS FARGO ADVISORS	CETERA ADVISOR NETWORKS LLC	Jan 3, 2014	Jan 6, 2014	3	Firm change	Other

Relationships

Registered with (5)

→ ALLWORTH FINANCIAL, L.P.Registered adviserregistration: current employment
Apr 26, 2023 to presentfactForm ADV
→ AFFINITY FINANCIAL ADVISORSRegistered adviserregistration: previous registration
Jan 16, 2014 to Aug 15, 2023factForm ADV
→ CETERA ADVISOR NETWORKS LLCRegistered adviserregistration: previous registration
Jan 6, 2014 to Apr 20, 2023factForm ADV
→ TWO WEST CAPITAL ADVISORS LLCRegistered adviserregistration: previous registration
Nov 7, 2019 to May 11, 2020factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jul 5, 2010 to Jan 3, 2014factForm ADV

Dated events

Occurred
Aug 15, 2023
Advisor changed firm
James M Moore left Affinity Financial Advisors for Two West Capital Advisors Llc (registered 2019-11-07)
Form ADVobserved 4 days ago
Occurred
Apr 20, 2023
Advisor changed firm
James M Moore left Cetera Advisor Networks Llc for Affinity Financial Advisors (registered 2014-01-16)
Form ADVobserved 4 days ago