BM
Barry L. Moss
SPC
Holiday, FL 34691
Some features on this profile are disabled
CRD#: 4279246
BM
Professional summary
Barry L Moss SR, CFP® is a registered financial advisor currently at SPC located in Holiday, Florida and PARKLAND SECURITIES, LLC located in Holiday, Florida.
Barry is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Barry has worked at 6 firms and has passed the Series 66, SIE and Series 7 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. DBA- BARRY L. MOSS & ASSOCIATES, INC.
POSITION: President / Owner NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 01/01/1993
ADDRESS: 2248 Sand Bay Dr, Holiday FL 34691
DESCRIPTION: Duties include helping existing clients with a claim, renewal, or questions relative to their insurance products.The compensation is mostly renewal commissions from years in the life and health insurance business.
2) As an independently licensed insurance agent, I am appointed with various insurance companies.
CRS (Client Relationship Summary) - RIA
Click below to view Barry L Moss SR'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®
CFP®
Start date: 2007
Experience
Current
April 26, 2017 - Present
SPC
Office #1: 2248 Sand Bay Drive, Holiday, FL 34691RIA
CRD#: 110692
Holiday, FL
Current
April 20, 2017 - Present
PARKLAND SECURITIES, LLC
BD
CRD#: 115368
Holiday, FL
Past
November 4, 2015 - April 24, 2017
CAPITAL ANALYSTS
RIA
CRD#: 162200
Lutz, FL
Past
August 11, 2015 - April 24, 2017
LINCOLN INVESTMENT
RIA
CRD#: 519
LUTZ, FL
Past
August 4, 2015 - April 24, 2017
LINCOLN INVESTMENT
BD
CRD#: 519
LUTZ, FL
Past
October 14, 2013 - November 2, 2015
SOWELL MANAGEMENT
RIA
CRD#: 127145
HOLIDAY, FL
Past
January 5, 2004 - October 4, 2013
SPC
RIA
CRD#: 110692
HOLIDAY, FL
Past
November 14, 2003 - October 4, 2013
PARKLAND SECURITIES, LLC
BD
CRD#: 115368
HOLIDAY, FL
Past
December 20, 2000 - November 14, 2003
RAYMOND JAMES & ASSOCIATES, INC.
RIA
CRD#: 705
HOLIDAY, FL
Past
December 19, 2000 - November 14, 2003
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
ST. PETERSBURG, FL
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".
SP
SPC
PARKLAND SECURITIES, LLC | SPC | SIGMA PLANNING CORPORATION | SIGMA PLANNING CORP
CRD#: 110692 / SEC#: 801-20404
RIA
Registered Investment Advisory firm - (1/11/1984 Approved)Alaska
Registered Investment Advisory firm - (2/13/2002 Cancelled)Arizona
Registered Investment Advisory firm - (2/14/2002 Terminated)California
Registered Investment Advisory firm - (1/17/2002 Cancelled)Colorado
Registered Investment Advisory firm - (2/14/2002 Cancelled)Delaware
Registered Investment Advisory firm - (2/14/2002 Terminated)Hawaii
Registered Investment Advisory firm - (3/19/2002 Terminated)Montana
Registered Investment Advisory firm - (2/12/2002 Terminated)New Hampshire
Registered Investment Advisory firm - (2/14/2002 Terminated)New Mexico
Registered Investment Advisory firm - (2/14/2002 Terminated)New York
Registered Investment Advisory firm - (1/17/2002 Cancelled)Rhode Island
Registered Investment Advisory firm - (3/7/2002 Terminated)Tennessee
Registered Investment Advisory firm - (2/14/2002 Terminated)Utah
Registered Investment Advisory firm - (1/17/2002 Terminated)Wisconsin
Registered Investment Advisory firm - (1/30/2002 Terminated)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
Florida(4/20/2017)
IAR
Florida(5/1/2017)
RR
Georgia(4/20/2017)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
SP
SPC
PARKLAND SECURITIES, LLC | SPC | SIGMA PLANNING CORPORATION | SIGMA PLANNING CORP
CRD#: 110692 / SEC#: 801-20404
RIA
Registered Investment Advisory firm - (1/11/1984 Approved)Alaska
Registered Investment Advisory firm - (2/13/2002 Cancelled)Arizona
Registered Investment Advisory firm - (2/14/2002 Terminated)California
Registered Investment Advisory firm - (1/17/2002 Cancelled)Colorado
Registered Investment Advisory firm - (2/14/2002 Cancelled)Delaware
Registered Investment Advisory firm - (2/14/2002 Terminated)Hawaii
Registered Investment Advisory firm - (3/19/2002 Terminated)Montana
Registered Investment Advisory firm - (2/12/2002 Terminated)New Hampshire
Registered Investment Advisory firm - (2/14/2002 Terminated)New Mexico
Registered Investment Advisory firm - (2/14/2002 Terminated)New York
Registered Investment Advisory firm - (1/17/2002 Cancelled)Rhode Island
Registered Investment Advisory firm - (3/7/2002 Terminated)Tennessee
Registered Investment Advisory firm - (2/14/2002 Terminated)Utah
Registered Investment Advisory firm - (1/17/2002 Terminated)Wisconsin
Registered Investment Advisory firm - (1/30/2002 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
300 Parkland Plaza, Ann Arbor, MI 48103
Mailing Address
Phone number
(734) 663-1611
Established
Firm type
Fiscal year end
# of Employees
462
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,544 |
| AUM (Assets Under Management) | $ 5,655,661,675 |
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.
