Career
Albert Moore has been Chief Compliance Officer of Simplify Asset Management since July 2025. Albert Moore is not listed as a control person, but directly owns under 5% of the firm.
Simplify Asset Management Inc. is a Las Vegas, NV firm with $14.1B under management, 44 clients and 14 advisers across 2 offices, as of its August 2026 filing.
No adviser firm registrations are on Albert Moore’s record.
Credentials and registrations
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 63 | Uniform Securities Agent State Law Examination | 14 January 2016 |
| Series 24 | General Securities Principal Examination | 16 September 2015 |
| Series 7 | General Securities Representative Examination | 14 July 2015 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
Individual record
- Full name
- Albert Ashok Moore
- CRD
- 6007672
Disciplinary history is not reported here, in either direction. Check the SEC record.
Common questions
Where does Albert Moore work?
Albert Moore has been Chief Compliance Officer of Simplify Asset Management Inc. since July 2025.
Does Albert Moore have a current investment-adviser registration?
Albert Moore has no current investment-adviser or broker registration.
What exams has Albert Moore passed?
Albert Moore has passed 3 licensing exams: the Series 7, Series 24 and Series 63. The earliest, the Series 7, was passed in July 2015. FINRA credited Albert Moore with the SIE, which began in October 2018.