BM
Burton H. Moss
Some features on this profile are disabled
CRD#: 2016143
BM
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Burton Harold Moss, who also goes by Burt Moss, was a registered financial professional .
Burton is a previously registered financial professional and started their career in finance in 1989. Burton had worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Burt 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)Associated Benefit Consultants, Inc. Position: Owner. Nature: Corporation. Investment Related: No. Hours: 2. Securities Trading Hours: 2. Start Date: 01/01/1990 Address: 1675 N Military Trail Ste. 570 Boca Raton, Fla.33486, United States Description: This entity hasn't been active since 1998. I am a co-owner of this company. It has been kept alive in order to receive renewal commissions from the sale of non-variable insurance products. It also receives a small amount of finders fees for pension administration clients referred to a TPA. I still have contact with some of those old clients servicing those old policies as needed. 2)Burt Moss & Associates, Inc. d/b/a/ Burt Moss Financial Position: Owner. Nature: Corporation. Investment Related: Yes. Hours: 120. Securities Trading Hours: 100. Address: 1675 N. Military Trail Ste.570 Boca Raton, Florida 33486, United States Description: Sales of fixed insurance products and exit planning 3)GLC FINANCIAL SERVICES, OTHER, COMMENCED 5/02, CORP, 2% TIME SPENT, 0% OWNERSHIP, AGENT; 4)Goldstein Lewin Financial Services d/b/a The Goldspark Group, LLC Position: Other - This entity is owned by a CPA firm. I have no ownership interest in either entity. I represent them for the sale of fixed insurance products to their clients on a joint agent basis. Nature: Limited Liability Company. Investment Related: Yes. Hours: 40. Securities Trading Hours: 40. Start Date: 04/02/2009 Address: 1675 N Military Trail Ste. 570 Boca Raton, Fla 33486, United States Description: Sale of fixed insurance products. non variable life insurance and annuities, sale of life insurance policies, long term care insurance, disability insurance 5)Associated Pension Consultants, Inc. Position: Other - I am a 20% co-owner. Nature: Corporation. Investment Related: No. Hours: 2. Securities Trading Hours: 2. Start Date: 01/01/1983 Address: 2699 Stirling Road Fort Lauderdale, Florida, United States Description: This entity hasn't been active since 1990.It has been kept alive to service old pension clients as well as to service old fixed insurance products sold to those clients. This entity receives renewal commissions for those old insurance sales. The pension administration business was sold to an unrelated actuarial firm located in New Jersey in 1990. The entity still receives a small fee for those clients that went to the purchasing entity. 6)ECOSMETICS,INC. POSITION: small investor NATURE: C Corporation established to sell Cosmetics online INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 12/16/2019 ADDRESS: 2950 Gateway Drive, Pompano Beach FL 33069, United States DESCRIPTION: none-this is an initial offering for a private company. I am looking to invest $100,000 as a loan with warrants for 250 shares of stock. Subsequent to the initial offering I am planning to invest an additional $100,000 as a new loan with an additional 250 warrants-when completed I will have 500 shares. 7) ITE RAIL FUND LP INVESTMENT THRU CITY NATIONAL ROCHDALE (CNR) MENT THRU CITY NATIONAL ROCHDALE ( POSITION: private investor thru a TPMM NATURE: Limited Partnership INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 10/15/2021 ADDRESS: 200 Park Avenue South, STE, 1151, NY NY 10003, United States DESCRIPTION: NONE
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
October 31, 2008 - December 31, 2022
OSAIC SERVICES, INC.
RIA
CRD#: 133763
BOCA RATON, FL
Past
October 31, 2008 - December 31, 2022
OSAIC SERVICES, INC.
BD
CRD#: 133763
BOCA RATON, FL
Past
June 23, 1998 - October 31, 2008
AMERICAN GENERAL SECURITIES INCORPORATED
RIA
CRD#: 13626
BOCA RATON, FL
Past
June 19, 1998 - October 31, 2008
AMERICAN GENERAL SECURITIES INCORPORATED
BD
CRD#: 13626
BOCA RATON, FL
Past
December 19, 1989 - July 20, 1998
INVESTACORP, INC.
BD
CRD#: 7684
MIAMI, FL
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
OS
OSAIC SERVICES, INC.
1ST PALMETTO ADVISORS | PILLAR FINANCIAL GROUP | PETER GOODWIN PERSONAL WEALTH MANAGEMENT | PEGASUS FINANCIAL GROUP | PARKE AVENUE INVESTMENTS | PARK AVENUE INVESTMENTS, WEALTH STRATEGIES | PANTO WEALTH STRATEGIES | PALFINI FINANCIAL | OSAIC SERVICES, INC. | OREGON PLANNERS | OAKLEAF CAPITAL PARTNERS | OAK FINANCIAL ADVISORS | NORTHSTAR ASSOCIATES | NORTH MAIN FINANCIAL GROUP | NORLAKES FINANCIAL SERVICES | NEST FINANCIAL | NBS FINANCIAL GROUP | NAVIGATOR FINANCIAL GROUP | NACCARATO FINANCIAL GROUP | MYERS & INKROTT FINANCIAL GROUP | MY WEALTH DOCTOR | MSL CAPITAL MANAGEMENT | MOSAIC WEALTH SOLUTIONS | MONARCH WEALTH AND RETIREMENT STRATEGIES | MONARCH WEALTH & RETIREMENT STRATEGIES | MIDAMERICA FINANCIAL GROUP | MARK S LALIN AND ASSOCIATES | MANDY MONEY | MAIN STREET ADVISORS | M.R. MILLER FINANCIAL | LUTZ WEALTH ADVISORS | LUCERO FINANCIAL PLANNING | LIVING TREE FINANCIAL CONSULTING | LINEBERRY GROUP | LIFELONG FINANCIAL PLANNING | LIFECRAFT FINANCIAL GROUP | LIBERTY FINANCIAL ASSOCIATES | LEWIS AND PALMER FINANCIAL SOLUTIONS GROUP | LEGACY FINANCIAL PLANNING | LEGACY FINANCIAL ADVISORS, INC. | LEGACY FINANCIAL ADVISORS | LAWRENCE WEALTH MANAGEMENT | LACHICOTTE, INC. | KRAUSE INVESTMENT ADVISORY GROUP, LLC - PAUL R. KRAUSE | KND FINANCIAL | KARP FINANCIAL STRATEGIES | JSTEPHENS WEALTH MANAGEMENT | JP GLOBAL FINANCIAL SERVICES | JAMES C. PROTIGAL | J.S. HOLLAND & CO., INC | ISYS FINANCIAL MANAGEMENT | IQON WEALTH MANAGEMENT | INVESTONE RETIREMENT SPECIALISTS | INVESTMENT CONCEPTS, INC. | INTEGRATED RETIREMENT CONCEPTS | INTEGRATED FINANCIAL CONCEPTS | INKROTT FINANCIAL SERVICES | INKROTT FINANCIAL GROUP | INCOME AND WEALTH ADVISORS AND ASSOCIATES | IMPAC WEALTH SOLUTIONS | ICM HOLISTIC WEALTH SERVICES | HOMANS WEALTH MANAGEMENT | HILL FINANCIAL GROUP | HILL & ASSOCIATES | HIGH POINT CAPITAL PARTNERS | HIGH POINT CAPITAL GROUP | HEYMAN INVESTMENT INC | HERITAGE INVESTMENTS HINDE ASSET MANAGEMENT | HEIGHTS FINANCIAL | HEDBERG WEALTH MANAGEMENT | HAVEN FINANCIAL GROUP | HARMONY FINANCIAL SERVICES | HARMAN WEALTH MANAGEMENT INC | HALE FINANCIAL PLANNING GROUP | GUARDIAN ROCK WEALTH | GRUCZ FINANCIAL | GREENVILLE FINANCIAL GROUP | GRAY HAWK FINANCIAL SERVICES | GRANITE VISTA FINANCIAL | GMBP WEALTH MANAGEMENT | GLOBAL CAPITAL MANAGEMENT | GIGUERE FINANCIAL SERVICES | GEN2 FINANCIAL | FOREST HILLS WEALTH | FOCUS POINT PLANNING | FOCAL POINT FINANCIAL | FLATHERS WEALTH MANAGEMENT | FISCHER CHRISTOFF BARTMESS ADVISORS | FINANCIAL POINTE | FINANCIAL FREEDOM GROUP | FIDUCIARY FIRST | EXCELSIOR WEALTH PARTNERS | EVERGREEN WEALTH MANAGEMENT | ESTATE & FINANCIAL CONSULTANTS | ESCOBAR FINANCIAL | EMERALD FINANCIAL ADVISORS | EAGLE RETIREMENT GROUP | DORAL ASSET MANAGERS INC. | DOMINION EAGLE ADVISOR GROUP | DICOLA FINANCIAL SERVICES MKT NAME | DAVIS FINANCIAL GROUP | DAKOTA LEGACY FINANCIAL | CURTIN WEALTH MANAGEMENT | CURRENT FINANCIAL | COVENANT CAPITAL ADVISORS | COMPREHENSIVE FINANCIAL SERVICES | COMMON INTERESTS | COMMON GOAL FINANCIAL | COLE FINANCIAL | COFFMAN WEALTH MANAGEMENT | CODA FINANCIAL GROUP, INC. | CFS INTEGRATED FINANCIAL SERVICES | CFS ADVISOR TEAM | CATAMOUNT WEALTH ADVISORY | CARMICHAEL FINANCIAL ADVISORS | CAMPER FINANCIAL GROUP | BRAZIER HINZ & ASSOCIATES | BICE WEALTH MANAGEMENT | BGA RETIREMENT ADVISORS | BGA FINANCIAL | BETANCOURT FINANCIAL SERVICES | BCF WEALTH STRATEGIES | BAXTER & ASSOCIATES, INC. | BAUMOEL & GOODMAN FINANCIAL STRATEGIES | BALTHAZOR & STRUBE FINANCIAL & INSURANCE SERVICES | BAKER STREET FINANCIAL SERVICES, LLC | B.E.S. FINANCIAL | AUSTIN MANNING WEALTH MANAGEMENT | ASTOR FINANCIAL GROUP | ASSET WEALTH MANAGEMENT SERVICES, INC. | ASSET PLANNING & MANAGEMENT | ARUCA FINANCIAL | ANGELA MARTIN FINANCIAL | ANCHOR WEALTH MANAGEMENT INC. | AMS FINANCIAL GROUP | AMERIFLEX FINANCIAL SERVICES | AMERIFLEX | AMERICAN WEALTH STRATEGY GROUP | AMERICAN FINANCIAL ASSOCIATES | ALPHA RISING WEALTH MANAGEMENT | ALPHA ADVISING | ALLIED WEALTH MANAGEMENT LLC | ALL-WEATHER WEALTH MANAGEMENT | ALL SEASONS ALPHA WEALTH MANAGEMENT | AIG FINANCIAL ADVISORS, INC. | ADVENT FINANCIAL SERVICES | AD ASTRA FINANCIAL GROUP | A. RANDALL FINANCIAL | A. M. HOERR FINANCIAL...
CRD#: 133763 / SEC#: 801-64721, 8-66771
BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
18700 Hayden Road Suite 2000, Phoenix, AZ 85012
Mailing Address
18700 Hayden Road Suite 255, Scottsdale, AZ 85255
Phone number
(800) 552-3319
Established
Delaware since 09/10/2004
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
3,563
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 86,848 |
| AUM (Assets Under Management) | $ 16,478,907,740 |
Disclosures
| Regulatory Event | 26 |
| Arbitration | 11 |
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.
