Sandy S. Moi

WPM WEALTH ADVISORS LLC

Saratoga Springs, NY 12866

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CRD#: 3070347

Professional summary

Sandy Sau Fan Moi, who also goes by Sandy Saufan Moi, is a registered financial advisor currently at WPM WEALTH ADVISORS LLC located in Saratoga Springs, New York.

Sandy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Sandy has worked at 3 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Sandy Saufan Moi

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.

Sandy S. Moi, CPA LLC, Allsafe Insurance Brokerage Inc.; Manager; Investment related: No; 139 Centre St PH138 New York NY 10013 USA; Accounting firm, insurance brokerage firm; 1998-01-01; Hours per month devoted to business during trading hours: 160; Hours per month devoted to business outside trading hours: 8; Percentage of total yearly compensation expected to be derived from the business: 100;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sandy Sau Fan Moi'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 10, 2023 - Present

WPM WEALTH ADVISORS LLC

Office #1: 63 Putnam Street Suite 202, Saratoga Springs, NY 12866

RIA

CRD#: 316722

Saratoga Springs, NY

Past

August 30, 2021 - May 12, 2023

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

New York, NY

Past

October 13, 1998 - May 12, 2023

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

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".

WPM WEALTH ADVISORS LLC

WCM WEALTH ADVISORS LLC | WPM WEALTH ADVISORS LLC

CRD#: 316722 / SEC#: 801-122458

RIA

Registered Investment Advisory firm - (10/7/2021 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

New York
(5/10/2023)

IAR

Texas
(3/25/2024)

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.

Exams

State Security Law Exam

Series 63

Date: 7/10/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 10/2/1998

Investment Company Products/Variable Contracts Representative Examination

Current Firm

WPM WEALTH ADVISORS LLC

WCM WEALTH ADVISORS LLC | WPM WEALTH ADVISORS LLC

CRD#: 316722 / SEC#: 801-122458

RIA

Registered Investment Advisory firm - (10/7/2021 Approved)

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Contact information

Main Address

63 Putnam Street Suite 202, Saratoga Springs, NY 12866

Mailing Address

Phone number

(518) 369-5232

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WRAP FEE BROCHURE- WPM WEALTH ADVISORS LLC (10/20/2025)

Regulatory assets under management

Total Number of Accounts	328
AUM (Assets Under Management)	$ 64,388,000

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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Sandy S. Moi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sandy Sau Fan Moi's CRS (Customer Relationship Summary).

Certified licenses

Experience

WPM WEALTH ADVISORS LLC

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

Primary Firm SEC Registration

WPM WEALTH ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/10/1998

SIE

Date: 10/1/2018

Series 6

Date: 10/2/1998

Current Firm

WPM WEALTH ADVISORS LLC

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WPM WEALTH ADVISORS LLC

TRUST BUT VERIFY

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