Chief Business Development Officer · International Assets Advisory, LLC
Ann Katherine Moore
CRD 5535928 · Named on Form ADV at one SEC-registered adviser
At a glance
International Assets Advisory, LLC, an SEC-registered broker-dealer firm based in Orlando, FL with $0 in regulatory assets, lists Ann Katherine Moore on its Form ADV as Chief Business Development Officer, a control person.
Firms and roles
- International Assets Advisory, LLCChief Business Development OfficerBroker-dealer firm · Orlando, FL · $0M in regulatory assets
AtlasMembers
Ann’s stakes and control
What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.
- Ownership stake at the firm
- Locked
- Control-person status
- 1 firmLocked
- When each role began
- Locked
- Each firm’s assets and growth
- Locked
- Search and export owners by title, state and firm size
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
SEC adviser record
- Registered since
- 2016 (10 years)
- Designations
- None on file
- Exams
- Series 63, Series 65
- Registered in
- 1 state
- Also a broker representative
- Yes
- Disclosures on record
- None
AtlasMembers
Ann’s office, career and moves
Their branch office with the firm’s business phone and website, every registration on their SEC record with dates, their employment history and outside business. Atlas members see all of it.
- Branch office address, business phone and website
- Locked
- Previous firms, with start and end dates
- Locked
- Employment history
- Locked
- States they’re registered in
- Locked
- Outside business activities
- Locked
- When they joined their current firm, and their firm’s growth
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Colleagues named on the same filings
- David S WeinbergerRegistered Options Principal / Chief Financial Officer / Chief Regulatory Officer, International Assets Advisory, LLC
- Edward Richard CofrancescoCEO / President, International Assets Advisory, LLC
- Myra Pearle NicholsonChief Legal Officer, Chief Risk Officer, International Assets Advisory, LLC
- Richard Jay WeissChief Compliance Officer, Chief AML CCO, International Assets Advisory, LLC
- Matthew Edward LampmanExecutive Vice President/chief Operating Officer, International Assets Advisory, LLC
Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Ann’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.