MM
Michael E. Moss
INDEPENDENT FINANCIAL GROUP
Reno, NV 89519
Some features on this profile are disabled
CRD#: 1054365
MM
Professional summary
Michael Edward Moss, who also goes by Mick Moss, Mike Moss, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Reno, Nevada.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Michael has worked at 11 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mick Moss | Mike Moss
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
(1) M GROUP ADVISORS LLC POSITION: Officer/Director NATURE: Business Entity for Tax/Investment Purposes INVESTMENT RELATED: Yes NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 03/07/2011 ADDRESS: 5250 S Virginia Street, Suite 330, Reno NV 89502, United States DESCRIPTION: 50% owner of M Group Advisors LLC used to market securities, advisory, and insurance business. MICHAEL EDWARD MOSS POSITION: Agent/Representative NATURE: Insurance outside of IFG INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/02/2015 ADDRESS: 2700 Everett Dr, Reno NV 89503, United States DESCRIPTION: Life Insurance sales. The last policy that I sold wes in 2023. to myself and to my wife.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Edward Moss's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael Edward Moss's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 2, 2015 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 1495 Ridgeview Drive Suite 220, Reno, NV 89519RIA
BD
CRD#: 7717
Reno, NV
Current
January 2, 2015 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 1495 Ridgeview Drive Suite 220, Reno, NV 89519RIA
BD
CRD#: 7717
Reno, NV
Past
July 2, 2012 - January 5, 2015
FIRST ALLIED ADVISORY SERVICES, INC.
RIA
CRD#: 137888
RENO, NV
Past
January 20, 2011 - July 2, 2012
FIRST ALLIED SECURITIES, INC.
RIA
CRD#: 32444
RENO, NV
Past
January 18, 2011 - January 5, 2015
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
RENO, NV
Past
April 7, 2005 - January 20, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
RENO, NV
Past
April 7, 2005 - January 20, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
RENO, NV
Past
February 7, 2005 - April 14, 2005
WELLS FARGO INVESTMENTS, LLC
RIA
CRD#: 10582
CARSON CITY, NV
Past
December 13, 2000 - August 21, 2002
WELLS FARGO BROKERAGE SERVICES, L.L.C.
BD
CRD#: 16100
MINNEAPOLIS, MN
Past
December 13, 2000 - April 14, 2005
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
SAN FRANCISCO, CA
Past
February 19, 1999 - May 7, 2001
WELLS FARGO SECURITIES INC.
BD
CRD#: 17438
SAN FRANCISCO, CA
Past
January 6, 1998 - December 13, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
BD
CRD#: 16100
MINNEAPOLIS, MN
Past
February 7, 1995 - December 31, 1997
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
LINCOLN, NE
Past
March 15, 1993 - January 23, 1995
U.S. BANCORP SECURITIES
BD
CRD#: 17439
PORTLAND, OR
Past
July 30, 1991 - February 17, 1993
ESSEX NATIONAL SECURITIES, LLC
BD
CRD#: 25454
NAPA, CA
Past
January 21, 1986 - July 9, 1991
WADDELL & REED
BD
CRD#: 866
Past
July 23, 1982 - July 9, 1991
WADDELL & REED
BD
CRD#: 866
OVERLAND PARK, KS
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
INDEPENDENT FINANCIAL GROUP, LLC
HAGERTY STEWART & ASSOCIATES LLC | INDEPENDENT FINANCIAL GROUP, LLC | INDEPENDENT FINANCIAL GROUP, INC | IFG FINANCIAL GROUP, LLC | HAGERTY, VAN MOURICK & LOGAN | HAGERTY, STEWART AND ASSOCIATES, INC. | HAGERTY, STEWART & ASSOCIATES, INC.
CRD#: 7717 / SEC#: 801-62667, 8-22870
RIA
Registered Investment Advisory firm - SEC (1/30/2004 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(1/2/2018)
RR
California(1/2/2015)
IAR
Nevada(1/2/2015)
RR
Nevada(1/5/2015)
RR
New York(2/8/2019)
RR
Oregon(5/14/2023)
RR
South Carolina(1/2/2018)
RR
Texas(1/29/2021)
IAR
Texas(1/31/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
INDEPENDENT FINANCIAL GROUP, LLC
HAGERTY STEWART & ASSOCIATES LLC | INDEPENDENT FINANCIAL GROUP, LLC | INDEPENDENT FINANCIAL GROUP, INC | IFG FINANCIAL GROUP, LLC | HAGERTY, VAN MOURICK & LOGAN | HAGERTY, STEWART AND ASSOCIATES, INC. | HAGERTY, STEWART & ASSOCIATES, INC.
CRD#: 7717 / SEC#: 801-62667, 8-22870
RIA
Registered Investment Advisory firm - SEC (1/30/2004 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
12671 High Bluff Drive Suite 200, San Diego, CA 92130
Mailing Address
12671 High Bluff Drive Suite 200, San Diego, CA 92130
Phone number
(858) 436-3180
Established
Delaware since 07/09/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
622
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INDEPENDENT FINANCIAL GROUP, INC. | OWNER | |
| DAVIS, SCOTT EARLE | CFO & FINOP | 7160800 |
| DENNEN, BRIAN | CCO BROKERAGE & ADVISORY | 3239786 |
| FISCHER, DAVID ALLEN | MANAGING DIRECTOR | 1634222 |
| HEISING, SCOTT ALLEN | CHIEF EXECUTIVE OFFICER/ MANAGING DIRECTOR | 2192259 |
| KEEFE, KEVIN MICHAEL | PRESIDENT, COO | 1869560 |
| KREISMAN, SARAH JILL | SVP & GENERAL COUNSEL | 2671706 |
| PEARSON, TROY DALE | ROSFP | 2413897 |
Regulatory assets under management
| Total Number of Accounts | 44,046 |
| AUM (Assets Under Management) | $ 11,322,059,063 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 2 |
| Bond | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
