RM
Robert S. Moses
THE FIDUCIARY ALLIANCE
BLUFFTON, SC 29909
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CRD#: 4132113
RM
Professional summary
Robert Stephen Moses is a registered financial advisor currently at THE FIDUCIARY ALLIANCE located in Bluffton, South Carolina.
Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Robert has worked at 3 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7, Series 6 and Series 24 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.
1) 1. Fiduciary Alliance d/b/a Altum Wealth Alliance 2. Investment related 3. See Registered Branch Location 4. Member of the Fiduciary Alliance 5. Member 6. 10/2020 7. 120 hrs/mo 8. 100 hrs during trading 9. I act as an IAR for the Fiduciary Alliance RIA, investment and retirement planning. 2) 1. Fixed Insurance 2. Not investment related 3. 511 Rhett St. Suite 2A, Greenville, SC 29601 4. Fixed / Traditional Insurance 5. Agent 6. 10/2020 7. 4 hrs/mo 8. 4 4 hrs during trading 9. Sales of fixed / traditional insurance products 3) 1. PKS Financial 2. Not investment related 3. 80 State St. Albany, NY 12207 4. Fixed / Traditional Insurance 5. Agent 6. 10/2020 7. 4 hrs/mo 8. 4 hrs during trading 9. Sales of fixed / traditional insurance
CRS (Client Relationship Summary) - RIA
Click below to view Robert Stephen Moses'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
November 11, 2020 - Present
THE FIDUCIARY ALLIANCE
Office #1: 110 Traders Cross, Bluffton, SC 29909RIA
CRD#: 284924
BLUFFTON, SC
Past
November 17, 2020 - November 20, 2023
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
Atlanta, GA
Past
January 5, 2005 - October 5, 2020
HORNOR, TOWNSEND & KENT, LLC
RIA
CRD#: 4031
ATLANTA, GA
Past
May 5, 2000 - October 5, 2020
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
ATLANTA, GA
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".
TF
THE FIDUCIARY ALLIANCE
ALTUM WEALTH ALLIANCE | THE FIDUCIARY ALLIANCE | STEWARDSHIP INVESTMENTS, INC. | PEACHTREE FINANCIAL GROUP | PARALLEL FINANCIAL | NORRIS LAKE RETIREMENT PLANNING, LLC | MORROW WEALTH ADVISORY GROUP | MERRIMACK WEALTH MANAGEMENT | LONGVIEW ADVISORS | KINGDOM WEALTH MANAGEMENT | GUARD LEGACY | FIDUCIARY ALLIANCE LLC | ELM WEALTH ADVISORS | ECHELON FINANCIAL MANAGEMENT | DAVID DUNN WEALTH, LLC | CREATIVE RETIREMENT SOLUTIONS GROUP, LLC | BRIDGEWAY WEALTH STRATEGIES
CRD#: 284924 / SEC#: 801-108283
RIA
Registered Investment Advisory firm - (8/17/2016 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
Georgia(12/23/2020)
IAR
South Carolina(4/1/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
TF
THE FIDUCIARY ALLIANCE
ALTUM WEALTH ALLIANCE | THE FIDUCIARY ALLIANCE | STEWARDSHIP INVESTMENTS, INC. | PEACHTREE FINANCIAL GROUP | PARALLEL FINANCIAL | NORRIS LAKE RETIREMENT PLANNING, LLC | MORROW WEALTH ADVISORY GROUP | MERRIMACK WEALTH MANAGEMENT | LONGVIEW ADVISORS | KINGDOM WEALTH MANAGEMENT | GUARD LEGACY | FIDUCIARY ALLIANCE LLC | ELM WEALTH ADVISORS | ECHELON FINANCIAL MANAGEMENT | DAVID DUNN WEALTH, LLC | CREATIVE RETIREMENT SOLUTIONS GROUP, LLC | BRIDGEWAY WEALTH STRATEGIES
CRD#: 284924 / SEC#: 801-108283
RIA
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Contact information
Main Address
135 S Main St Suite 600, Greenville, SC 29601
Mailing Address
Phone number
(864) 385-7999
Established
Firm type
Fiscal year end
# of Employees
63
SEC notice filing (29 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 6,842 |
| AUM (Assets Under Management) | $ 1,921,956,974 |
Red Flags
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