Frances Frazer Moore

Investment Adviser Representative at WATERLOO CAPITAL

CRD #1534194Dual-registered

Disclosure(s) on record — see official records below

Sourced from SEC IAPD & FINRA BrokerCheck

Years of Experience

40 yrs

States Registered

1 states

Exams Passed

Registrations & licenses

Registration type

Dual-registered

Registered in 1 states

Texas

Examinations passed

Series 65

Uniform Investment Adviser Law Examination

Passed 5/20/1996

Series 63

Uniform Securities Agent State Law Examination

Passed 7/15/1985

Series 24

General Securities Principal Examination

Passed 7/17/1989

Series 53

Municipal Securities Principal Examination

Passed 5/4/1983

SIE

Securities Industry Essentials Examination

Passed 4/19/2018

Series 31

Futures Managed Funds Examination

Passed 6/20/2005

Series 7

General Securities Representative Examination

Passed 3/19/1988

Series 6

Investment Company Products/Variable Contracts Representative Examination

Passed 8/30/1985

Series 52

Municipal Securities Representative Examination

Passed 8/10/1982

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model

Assets Under Management (AUM)

Source

WATERLOO CAPITAL Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

REPUBLICBANK FINANCIAL MARKETS, INC.

8/29/1986 – 11/6/1987

NCNB SECURITIES, INC.

4/2/1990 – 1/28/1991BOSTON, MA

MORGAN KEEGAN & COMPANY, INC.

3/8/1996 – 2/13/2013AUSTIN, TX

ISFA CORPORATION

2/8/1988 – 6/26/1989

RAYMOND JAMES & ASSOCIATES, INC.

2/13/2013 – 4/19/2018AUSTIN, TX

NCNB TEXAS SECURITIES, INC.

11/6/1987 – 4/2/1990

NATIONSBANC CAPITAL MARKETS, INC.

1/23/1991 – 4/4/1996NEW YORK, NY

Official records & sources

FINRA BrokerCheck record

Official broker registration & regulatory record

SEC IAPD record

SEC investment adviser registration record

Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Frances Frazer Moore has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.