Janet D. Moses

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CRD#: 2891369

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.

Janet D Moses, CFP® was a registered financial professional .

Janet is a previously registered financial professional and started their career in finance in 1997. Janet had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 31, Series 7, Series 24, Series 23, Series 9 and Series 10 exams.

Question & Answer

Are you a "fiduciary"?

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)

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®

CFP^®

Certified Financial Planner

Experience

Past

April 25, 2022 - September 5, 2025

RAYMOND JAMES & ASSOCIATES, INC.

RIA

CRD#: 705

CORAL GABLES, FL

Past

April 25, 2022 - September 5, 2025

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

CORAL GABLES, FL

Past

October 4, 2016 - May 4, 2022

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

GARDEN CITY, NY

Past

September 11, 2012 - May 4, 2022

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

GARDEN CITY, NY

Past

March 29, 2010 - July 25, 2012

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

NEW YORK, NY

Past

March 29, 2010 - July 25, 2012

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

NEW YORK, NY

Past

June 1, 2009 - April 14, 2010

MORGAN STANLEY

CRD#: 149777

NEW YORK, NY

Past

August 7, 1997 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

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".

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705 / SEC#: 801-10418, 8-10999

RIA

Registered Investment Advisory firm - SEC (12/19/1974 Approved)

Broker-Dealer Firm Regulated by FINRA (Florida district office)

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.

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: 9/11/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/15/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 1/28/2015

National Commodity Futures Examination

General Industry/Product Exam

Series 31

Date: 2/19/2003

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 8/6/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/2/2023

General Securities Principal Examination

Principal/Supervisory Exam

Series 23

Date: 3/29/2011

General Securities Principal Sales Supervisor

Principal/Supervisory Exam

Series 9

Date: 9/7/2007

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 1/30/2007

General Securities Sales Supervisor - General Module Examination

Current Firm

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705 / SEC#: 801-10418, 8-10999

RIA

Registered Investment Advisory firm - SEC (12/19/1974 Approved)

Broker-Dealer Firm Regulated by FINRA (Florida district office)

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Contact information

Main Address

880 Carillon Parkway, St. Petersburg, FL 33716

Mailing Address

880 Carillon Parkway, St. Petersburg, FL 33716

Phone number

(727) 567-1000

Established

Florida since 02/19/1969

Firm type

Corporation

Fiscal year end

September

Firm Size

Large

# of Employees

13,966

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

RAYMOND JAMES WRAP FEE PROGRAM BROCHURE (12/1/2025)

RAYMOND JAMES FORM ADV PART 2A BROCHURE (12/1/2025)

INSTITUTIONAL FIDUCIARY SOLUTIONS PROGRAM BROCHURE (6/30/2025)

PUBLIC FINANCE INVESTMENT STRATEGIES BROCHURE (12/20/2024)

Direct owners and executive officers

Name	Position	CRD#
RAYMOND JAMES FINANCIAL, INC.	HOLDING COMPANY
BARKO, SHAWN JOSEPH	CHIEF COMPLIANCE OFFICER	2690394
BUNN, JAMES EDWARD	DIRECTOR	3130320
CURTIS, SCOTT	DIRECTOR	1707935
DELEON, ALLYSSA NICOLE	PRINCIPAL FINANCIAL OFFICER / FINOP	6902665
ELWYN, TASHTEGO SPRING	PRESIDENT - CHIEF EXECUTIVE OFFICER DIRECTOR	2319098
MARTIN, PHILIP ROGER	RIA CHIEF COMPLIANCE OFFICER	2613565
RUST, KEITH G	DIRECTOR, PRINCIPAL OPERATIONS OFFICER	5915636
SANTELLI, JONATHAN	GENERAL COUNSEL / SECRETARY	6306997
SICKLING, JAMES PHILIP	DIRECTOR	1240810

Regulatory assets under management

Total Number of Accounts	1,070,028
AUM (Assets Under Management)	$ 433,814,330,581

Disclosures

Regulatory Event	181
Arbitration	72

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/12/2025	Cover Page	Report
08/21/2024	Cover Page	Report
09/27/2023	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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Janet D. Moses

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

RAYMOND JAMES & ASSOCIATES, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

RAYMOND JAMES & ASSOCIATES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/11/1997

Series 63

Date: 8/15/1997

SIE

Date: 10/1/2018

Series 3

Date: 1/28/2015

Series 31

Date: 2/19/2003

Series 7

Date: 8/6/1997

Series 24

Date: 1/2/2023

Series 23

Date: 3/29/2011

Series 9

Date: 9/7/2007

Series 10

Date: 1/30/2007

Current Firm

RAYMOND JAMES & ASSOCIATES, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

RAYMOND JAMES & ASSOCIATES, INC.

TRUST BUT VERIFY

Contact information

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