Stephen E. Moroz

CONCORD ATLANTIC

FALLS CHURCH, VA

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CRD#: 1960244

Professional summary

Stephen Eugene Moroz is a registered financial advisor currently at CONCORD ATLANTIC, INC. located in Falls Church, Virginia.

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. Stephen has worked at 4 firms and has passed the Series 65, Series 7 and Series 22 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Eugene Moroz's CRS (Customer Relationship Summary).

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

April 8, 2004 - Present

CONCORD ATLANTIC, INC.

RIA

CRD#: 121820

FALLS CHURCH, VA

Past

February 2, 1993 - April 21, 1993

MEYERS POLLOCK ROBBINS, INC.

CRD#: 13436

Past

October 25, 1990 - February 16, 1993

FIRST UNION CAPITAL MARKETS CORP.

CRD#: 6124

Past

July 26, 1989 - June 15, 1990

WINTHROP SECURITIES CO., INC.

CRD#: 6925

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".

CONCORD ATLANTIC, INC.

CRD#: 121820 / SEC#: 801-120993

RIA

Registered Investment Advisory firm - (7/7/2021 Approved)

Maryland

Registered Investment Advisory firm - (4/20/2022 Terminated)

Massachusetts

Registered Investment Advisory firm - (4/19/2022 Terminated)

Virginia

Registered Investment Advisory firm - (4/19/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Massachusetts
(4/8/2004)

IAR

Virginia
(6/25/2012)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/30/1990

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 10/24/1990

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 7/24/1989

Direct Participation Programs Representative Examination

Current Firm

CONCORD ATLANTIC, INC.

CRD#: 121820 / SEC#: 801-120993

RIA

Registered Investment Advisory firm - (7/7/2021 Approved)

Maryland

Registered Investment Advisory firm - (4/20/2022 Terminated)

Massachusetts

Registered Investment Advisory firm - (4/19/2022 Terminated)

Virginia

Registered Investment Advisory firm - (4/19/2022 Terminated)

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Contact information

Main Address

Concord, MA

Mailing Address

Phone number

(978) 369-6060

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CONCORD ATLANTIC (4/2/2025)

Regulatory assets under management

Total Number of Accounts	55
AUM (Assets Under Management)	$ 130,000,000

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.

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Stephen E. Moroz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Eugene Moroz's CRS (Customer Relationship Summary).

Certified licenses

Experience

CONCORD ATLANTIC, INC.

MEYERS POLLOCK ROBBINS, INC.

FIRST UNION CAPITAL MARKETS CORP.

WINTHROP SECURITIES CO., INC.

Primary Firm SEC Registration

CONCORD ATLANTIC, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/30/1990

Series 7

Date: 10/24/1990

Series 22

Date: 7/24/1989

Current Firm

CONCORD ATLANTIC, INC.

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CONCORD ATLANTIC, INC.

TRUST BUT VERIFY

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