Sean Moore has been Partner, Director of Operations & Chief Compliance Officer of Moore Wealth since January 2023, is a control person of the firm and directly owns between 25% and 50% of it. Sean Moore holds an Undergraduate degree in Finance from the University of Maryland.
Moore Wealth LLC is a Frederick, MD firm with $157M under management, 204 clients and 5 advisers across 2 offices, as of its August 2026 filing.
Sean Moore is Partner & Director of Operations of Moore Wealth, based in Frederick, Maryland. Before joining Moore Wealth, he served six years in the U.S. Army as a Green Beret with the 10th Special Forces Group. He works alongside Shabri and Erik to develop financial plans and manage business processes.
Sean Moore’s longest registration was 4 years at Commonwealth Financial Network (2018–2023). Before joining Moore Wealth in 2023, Sean Moore was registered through Commonwealth Financial Network.
- Commonwealth Financial Network– · 4 yearsFrederick, MD · Adviser representative · Firm CRD 8032
Professional designations
Listed by Moore Wealth
- Accredited Investment Fiduciary®
Investment adviser representative registrations
Sean Moore is registered as an investment adviser representative in 2 states, as a resident of Texas. Each was approved in April 2023.
- MarylandSince 3 April 2023
- TexasResidentSince 3 April 2023
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 31 May 2018 |
| Series 7 | General Securities Representative Examination | 29 March 2018 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Sean Ajay Moore
- CRD
- 5894573
- Firm
- Moore Wealth · CRD 323374
- Role
- Partner, Director of Operations & Chief Compliance Officer
- Office
- 50 CARROLL CREEK WAY, SUITE 335, Frederick, MD 21701
- Registration
- Investment adviser registration
- In the industry since
- March 2018
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- moorewealthinc.com
Where does Sean Moore work?
Sean Moore has been Partner, Director of Operations & Chief Compliance Officer of Moore Wealth LLC since January 2023, and is a control person of the firm.
Is Sean Moore a financial advisor?
Yes. Sean Moore has a current investment-adviser registration in Maryland and Texas, through Moore Wealth since April 2023.
How many years of experience does Sean Moore have?
Sean Moore has 8 years in the financial industry, since March 2018, across 2 adviser firms.
What exams has Sean Moore passed?
Sean Moore has passed 2 licensing exams: the Series 7 and Series 66. The earliest, the Series 7, was passed in March 2018. FINRA credited Sean Moore with the SIE, which began in October 2018.
Where is Sean Moore based?
Sean Moore’s registered office is in Frederick, MD.
Is Sean Moore registered with FINRA?
No. Sean Moore has no current broker registration.
How can I verify Sean Moore’s record?
Search CRD 5894573 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Sean Moore’s full registration record.
