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RIA / WealthAdvisordual registered (broker-dealer)21 years in industry

THOMAS OWEN MOORE

Advisor at SPC

AURORA, CO | ANN ARBOR, MI

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Search this name across graphsid dfx:ria:de02bd7b-777b-110f-33be-c4ca8f5c8541

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:14 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Nov 26, 2004 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: SPC
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: Nov 24, 2004earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Nov 24, 2004
First registration: Nov 26, 2004
Dual registered: yes, broker-dealer
Other names: THOMAS O MOORE, JR.|THOMAS O MOORE, JR.|TOM MOORE|THOMAS O MOORE
IAPD individual key: 4849228

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
Spc	Bd affiliated wealth	Jan 1, 2025	n/a	yes	ANN ARBOR, MI\|AURORA, CO\|AURORA, CO	Current employment
FORTA FINANCIAL GROUP, INC.	Former SEC adviser	May 8, 2009	Apr 5, 2011	no	GREENWOOD VILLAGE, CO	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Aug 12, 2006	May 13, 2009	no	DENVER, CO\|DENVER, CO	Previous registration
PIPER SANDLER & CO.	Institutional manager	Nov 26, 2004	Aug 12, 2006	no	DENVER, CO\|MINNEAPOLIS, MN\|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
FORTA FINANCIAL GROUP, INC.	Spc	Apr 5, 2011	Jan 1, 2025	5,020	Firm change after gap	Other
UBS FINANCIAL SERVICES INC.	FORTA FINANCIAL GROUP, INC.	May 13, 2009	May 8, 2009	-5	Firm change	Other
PIPER SANDLER & CO.	UBS FINANCIAL SERVICES INC.	Aug 12, 2006	Aug 12, 2006	0	Bulk transfer	Other

Relationships

Registered with (4)

→ SPCRegistered adviserregistration: current employment
Jan 1, 2025 to presentfactForm ADV
→ FORTA FINANCIAL GROUP, INC.Registered adviserregistration: previous registration
May 8, 2009 to Apr 5, 2011factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Aug 12, 2006 to May 13, 2009factForm ADV
→ PIPER SANDLER & CO.Registered adviserregistration: previous registration
Nov 26, 2004 to Aug 12, 2006factForm ADV

Dated events

No dated event names this entity yet.