Richard J. Moss
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.
Richard Joseph Moss, who also goes by Dick Moss, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1970. Richard had worked at 12 firms and has passed the SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 3, 2016 - June 27, 2017
WEALTH WATCH ADVISORS, INC
July 1, 2004 - March 18, 2016
QUINT CAPITAL CORPORATION
March 1, 2000 - March 18, 2016
QUINT CAPITAL CORPORATION
September 16, 1999 - March 1, 2000
LOCUST STREET SECURITIES, INC.
October 16, 1995 - September 15, 1999
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 20, 1989 - December 8, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
November 19, 1989 - October 17, 1995
OSAIC WEALTH, INC.
May 4, 1987 - December 5, 1988
FEDERATION FOR FINANCIAL INDEPENDENCE
November 11, 1986 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
November 1, 1984 - December 4, 1986
JOHN HANCOCK DISTRIBUTORS LLC
December 29, 1982 - November 19, 1985
MONARCH SECURITIES, INC.
March 10, 1982 - October 18, 1984
THE O.N. EQUITY SALES COMPANY
June 22, 1979 - March 15, 1982
INTEGRATED RESOURCES EQUITY CORPORATION
January 14, 1977 - January 6, 1987
PROVIDENT MARKETING CORPORATION
September 2, 1970 - January 14, 1977
PLA SECURITIES CORPORATION
Primary Firm SEC Registration
WEALTH WATCH ADVISORS, INC
CRD#: 172002 / SEC#: 801-96180
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 1/9/1969
Registered Representative ExaminationCurrent Firm
WEALTH WATCH ADVISORS, INC
CRD#: 172002 / SEC#: 801-96180
Contact information
SEC notice filing (27 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,556 |
| AUM (Assets Under Management) | $ 473,650,570 |
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.
