Jacqueline E. Moss
WILLIAM BLAIR | Partner, Wealth Advisor
Chicago, IL 60606
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CRD#: 3108158
Professional summary
Jacqueline Elizabeth Moss, who also goes by Jackie M. Etten Mrs., Jackie Etten, Jacqueline Moss Etten Mrs., Jackie Moss, Jacqueline E. Moss, Jacqueline Elizabeth Moss Ms., is a registered financial advisor currently at WILLIAM BLAIR located in Chicago, Illinois.
Jacqueline is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Jacqueline has worked at 5 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 24 exams.
Question & Answer
What are your service offerings?
Philanthropic services
Loans/credit services
Financial planning
Trading individual securities
Trust & estate planning
Retirement planning
What is your current number of clients?
Under 100
What is your minimum asset requirement?
5M
Are you a "fiduciary"?
Yes
Aliases
Jackie M. Etten Mrs. | Jackie Etten | Jacqueline Moss Etten Mrs. | Jackie Moss | Jacqueline E. Moss | Jacqueline Elizabeth Moss Ms.
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.
CRS (Client Relationship Summary) - RIA
Click below to view Jacqueline Elizabeth Moss's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jacqueline Elizabeth Moss's 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®
NoneExperience
Current
July 30, 2014 - Present
WILLIAM BLAIR
Office #1: The William Blair Building 150 North Riverside, Chicago, IL 60606RIA
BD
CRD#: 1252
Chicago, IL
Current
July 30, 2014 - Present
WILLIAM BLAIR
Office #1: The William Blair Building 150 North Riverside, Chicago, IL 60606RIA
BD
CRD#: 1252
Chicago, IL
Past
April 27, 2011 - July 10, 2014
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
CHICAGO, IL
Past
April 18, 2011 - May 15, 2012
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
CHICAGO, IL
Past
November 15, 2002 - March 28, 2011
TREES INVESTMENT COUNSEL LLC
RIA
CRD#: 109427
CHICAGO, IL
Past
April 6, 1999 - June 1, 2001
THOMAS WEISEL PARTNERS LLC
BD
CRD#: 46237
SAN FRANCISCO, CA
Past
December 1, 1998 - May 14, 1999
BANC OF AMERICA SECURITIES LLC
BD
CRD#: 26091
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".
WILLIAM BLAIR
WILLIAM BLAIR | WILLIAM BLAIR & COMPANY L.L.C. | WILLIAM BLAIR & COMPANY
CRD#: 1252 / SEC#: 801-688, 8-2698
RIA
Registered Investment Advisory firm - SEC (12/24/1947 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(1/10/2019)
RR
California(9/30/2016)
RR
Colorado(8/7/2017)
RR
Connecticut(7/18/2018)
RR
District of Columbia(10/23/2018)
RR
Florida(8/29/2017)
RR
Georgia(7/9/2021)
RR
Hawaii(1/3/2020)
RR
Illinois(7/30/2014)
IAR
Illinois(7/30/2014)
RR
Indiana(4/16/2024)
RR
Kansas(8/28/2015)
RR
Kentucky(8/14/2018)
RR
Maryland(10/8/2020)
RR
Massachusetts(6/12/2018)
RR
Michigan(7/23/2018)
RR
Minnesota(2/17/2016)
RR
Nevada(6/5/2017)
RR
New Hampshire(9/10/2024)
RR
New Jersey(10/19/2018)
RR
New Mexico(5/3/2018)
RR
New York(9/25/2015)
RR
North Carolina(1/3/2025)
RR
Ohio(8/16/2017)
RR
Oklahoma(7/19/2021)
RR
Oregon(7/27/2018)
RR
South Carolina(1/9/2023)
RR
South Dakota(3/24/2021)
RR
Tennessee(10/23/2018)
RR
Texas(7/27/2018)
RR
Utah(11/10/2025)
RR
Vermont(7/23/2018)
RR
Virginia(1/17/2017)
RR
Washington(7/27/2018)
RR
Wisconsin(7/17/2018)
RR
Wyoming(7/20/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
WILLIAM BLAIR
WILLIAM BLAIR | WILLIAM BLAIR & COMPANY L.L.C. | WILLIAM BLAIR & COMPANY
CRD#: 1252 / SEC#: 801-688, 8-2698
RIA
Registered Investment Advisory firm - SEC (12/24/1947 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
The William Blair Building 150 North Riverside, Chicago, IL 60606
Mailing Address
The William Blair Building 150 North Riverside, Chicago, IL 60606-1594
Phone number
(312) 236-1600
Established
Delaware since 10/30/1995
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
469
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WBC HOLDINGS, L.P. | HOLDING COMPANY | |
| CITARDI, CISSIE | EXECUTIVE COMMITTEE, GENERAL COUNSEL | 6642613 |
| DEVORE, RYAN JACOB | EXECUTIVE COMMITTEE | 3049671 |
| DUWA, ROBERT J | EXECUTIVE COMMITTEE | 2931296 |
| GLEDHILL, BRENT WALKER | PRESIDENT, CEO | 2921069 |
| MCLAUGHLIN, SCOTT THOMAS | EXECUTIVE COMMITTEE | 2481285 |
| QUINN, MICHAEL PATRICK | EXECUTIVE COMMITTEE | 3257072 |
| RASAVONGXAY, WILLSON B | CHIEF COMPLIANCE OFFICER | 6593731 |
| SATTERFIELD, BETH A | EXECUTIVE COMMITTEE | 6011858 |
| TOLE, STEVEN ROBERT | EXECUTIVE COMMITTEE | 5885283 |
| TRIMBERGER, MICHAEL WILLIAM | CFO | 5329834 |
| ZIMMER, MATTHEW MONTGOMERY | EXECUTIVE COMMITTEE | 4157826 |
Regulatory assets under management
| Total Number of Accounts | 37,973 |
| AUM (Assets Under Management) | $ 58,329,726,421 |
Disclosures
| Regulatory Event | 29 |
| Arbitration | 2 |
| Bond | 1 |
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.
Company Information
WILLIAM BLAIR
Partner, Wealth AdvisorCRD#: 1252Chicago, IL 60606TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
