Dean E. Moberg

SOUND TRUST WEALTH ADVISORS

Westport, CT

CRD#: 1163869

Professional summary

Dean Edwin Moberg, who also goes by Dean Moberg, is a registered financial advisor currently at SOUND TRUST WEALTH ADVISORS, LLC located in Westport, Connecticut and OSAIC WEALTH, INC. located in Westport, Connecticut.

Dean is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Dean has worked at 9 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dean Moberg

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) DBA: SOUND TRUST WEALTH ADVISORS, LLC. 2) INSURANCE PRODUCTS OFFERED AS AN INDEPENDENT INSURANCE AGENT OF HSH BROKERAGE. 3) INVESTMENT ADVISORY SERVICES OFFERED THROUGH SOUND TRUST WEALTH ADVISORS, LLC (A CT-REGISTERED INVESTMENT ADVISER) AS AN INVESTMENT ADVISER REPRESENTATIVE. INSURANCE SALES - LIFE & LONG TERM CARE. 10/2/12

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dean Edwin Moberg'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®

None

Experience

Current

June 7, 2006 - Present

SOUND TRUST WEALTH ADVISORS, LLC

RIA

CRD#: 134344

Westport, CT

Current

October 11, 2024 - Present

OSAIC WEALTH, INC.

RIA

CRD#: 23131

WESTPORT, CT

Past

May 21, 2012 - October 11, 2024

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

CRD#: 18487

WESTPORT, CT

Past

June 8, 2006 - May 17, 2012

FSC SECURITIES CORPORATION

RIA

CRD#: 7461

WESTPORT, CT

Past

May 31, 2006 - June 5, 2006

FSC SECURITIES CORPORATION

RIA

CRD#: 7461

WESTPORT, CT

Past

May 31, 2006 - May 17, 2012

FSC SECURITIES CORPORATION

CRD#: 7461

WESTPORT, CT

Past

February 17, 2005 - June 27, 2006

SOUND FINANCIAL ADVISORS

RIA

CRD#: 126276

WILTON, CT

Past

January 7, 2005 - May 31, 2006

GREENWICH GLOBAL, LLC

CRD#: 37304

WILTON, CT

Past

January 28, 2000 - January 14, 2005

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

WESTPORT, CT

Past

February 7, 1994 - January 14, 2005

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

December 21, 1984 - February 18, 1994

ADVEST, INC.

CRD#: 10

HARTFORD, CT

Past

August 23, 1983 - December 14, 1984

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

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.

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

IAR

Connecticut
(6/7/2006)

Connecticut
(10/11/2024)

Florida
(10/11/2024)

Indiana
(10/11/2024)

Massachusetts
(10/11/2024)

New Jersey
(10/11/2024)

IAR

New York
(7/18/2022)

New York
(10/11/2024)

Oregon
(10/11/2024)

Pennsylvania
(10/11/2024)

Texas
(10/11/2024)

Virginia
(10/11/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/19/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/7/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 9/25/2025

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/20/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 10/12/2009

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 5/12/2009

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

SOUND TRUST WEALTH ADVISORS, LLC

CRD#: 134344 / SEC#:

Connecticut

Registered Investment Advisory firm - (6/7/2006 Approved)

New York

Registered Investment Advisory firm - (8/2/2006 Approved)

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Contact information

Main Address

Westport, CT

Mailing Address

Phone number

(203) 291-7950

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	27
AUM (Assets Under Management)	$ 16,338,087

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Dean E. Moberg

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dean Edwin Moberg's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

FSC SECURITIES CORPORATION

FSC SECURITIES CORPORATION

FSC SECURITIES CORPORATION

SOUND FINANCIAL ADVISORS

GREENWICH GLOBAL, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

ADVEST, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 9/19/1995

Series 63

Date: 9/7/1983

Series 52TO

Date: 9/25/2025

SIE

Date: 10/1/2018

Series 7

Date: 8/20/1983

Series 53

Date: 10/12/2009

Series 24

Date: 5/12/2009

FINRA

Current Firm

SOUND TRUST WEALTH ADVISORS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SOUND TRUST WEALTH ADVISORS, LLC

TRUST BUT VERIFY

Contact information

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