Michael D. Moses

BRADLEY FOSTER & SARGENT

Westerly, RI 02891

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CRD#: 2190810

Professional summary

Michael Dominick Moses is a registered financial advisor currently at BRADLEY FOSTER & SARGENT INC located in Westerly, Rhode Island.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Michael has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 87, Series 55, Series 7 and Series 4 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.

MR. MOSES IS AN UBER DRIVER; START DATE: 09/2019; 1% OF HIS TIME PER MONTH NOT DURING TRADING HOURS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Dominick Moses'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

May 20, 2025 - Present

BRADLEY FOSTER & SARGENT INC

Office #1: 90 Beach Street, Westerly, RI 02891

RIA

CRD#: 106928

Westerly, RI

Past

January 28, 2020 - May 13, 2025

NAPATREE CAPITAL LLC

RIA

CRD#: 292776

WESTERLY, RI

Past

June 13, 2006 - July 31, 2017

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

Past

August 6, 2003 - January 17, 2006

CANACCORD GENUITY LLC

CRD#: 1020

NEW YORK, NY

Past

September 4, 2002 - July 17, 2003

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

Past

March 20, 1998 - October 26, 2001

CANACCORD GENUITY LLC

CRD#: 1020

NEW YORK, NY

Past

December 4, 1991 - November 26, 1997

HERZOG, HEINE, GEDULD, LLC

CRD#: 2186

NEW YORK, NY

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".

BRADLEY FOSTER & SARGENT INC

CRD#: 106928 / SEC#: 801-46616

RIA

Registered Investment Advisory firm - (5/31/1994 Approved)

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

Connecticut
(5/20/2025)

IAR

Massachusetts
(6/18/2025)

IAR

Rhode Island
(5/20/2025)

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: 1/28/2020

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/11/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 7/31/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 1/19/2007

National Commodity Futures Examination

General Industry/Product Exam

Series 87

Date: 5/17/2005

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 55

Date: 4/5/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 12/2/1991

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 8/25/2006

Registered Options Principal Examination

Current Firm

BRADLEY FOSTER & SARGENT INC

CRD#: 106928 / SEC#: 801-46616

RIA

Registered Investment Advisory firm - (5/31/1994 Approved)

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Contact information

Main Address

185 Asylum Street City Place Ii 11th Floor, Hartford, CT, 06103-3402

Mailing Address

Phone number

(860) 527-8050

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (39 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BRADLEY, FOSTER & SARGENT (5/13/2025)

Regulatory assets under management

Total Number of Accounts	4,967
AUM (Assets Under Management)	$ 8,593,473,009

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/22/2024	Cover Page	Report
02/02/2024	Cover Page	Report
10/26/2022	Cover Page	Report

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

Michael D. Moses

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Dominick Moses's CRS (Customer Relationship Summary).

Certified licenses

Experience

NAPATREE CAPITAL LLC

FIDELITY BROKERAGE SERVICES LLC

CANACCORD GENUITY LLC

EDWARD JONES

CANACCORD GENUITY LLC

HERZOG, HEINE, GEDULD, LLC

Primary Firm SEC Registration

BRADLEY FOSTER & SARGENT INC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/28/2020

Series 63

Date: 2/11/1992

SIE

Date: 7/31/2017

Series 3

Date: 1/19/2007

Series 87

Date: 5/17/2005

Series 55

Date: 4/5/2000

Series 7

Date: 12/2/1991

Series 4

Date: 8/25/2006

Current Firm

BRADLEY FOSTER & SARGENT INC

Contact information

SEC notice filing (39 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

BRADLEY FOSTER & SARGENT INC

TRUST BUT VERIFY

Contact information

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