Robert W. Moser

SAGE ADVISORY SERVICES LTD CO

LONE TREE, CO

Some features on this profile are disabled

CRD#: 4286284

Professional summary

Robert Wayne Moser, CIMA® is a registered financial advisor currently at SAGE ADVISORY SERVICES LTD CO located in Lone Tree, Colorado.

Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Robert has worked at 4 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7 and Series 6 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Wayne Moser'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®

CIMA^®

Certified Investment Management Analyst

Experience

Current

March 4, 2016 - Present

SAGE ADVISORY SERVICES LTD CO

RIA

CRD#: 106236

LONE TREE, CO

Past

September 29, 2017 - December 16, 2020

NORTHERN LIGHTS DISTRIBUTORS, LLC

CRD#: 126159

ELKHORN, NE

Past

March 1, 2002 - June 10, 2015

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

CRD#: 7834

NEW YORK, NY

Past

November 16, 2000 - February 11, 2002

GLOBAL ATLANTIC DISTRIBUTORS, LLC

CRD#: 8326

HARTFORD, CT

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".

SAGE ADVISORY SERVICES LTD CO

CRD#: 106236 / SEC#: 801-52937

RIA

Registered Investment Advisory firm - (9/24/1996 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

Colorado
(3/4/2016)

IAR

Texas
(3/4/2016)

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

IAR

Series 66

Date: 2/19/2016

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/9/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 3/2/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/14/2002

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/15/2000

Investment Company Products/Variable Contracts Representative Examination

Current Firm

SAGE ADVISORY SERVICES LTD CO

CRD#: 106236 / SEC#: 801-52937

RIA

Registered Investment Advisory firm - (9/24/1996 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

5900 Southwest Parkway Building 1, Suite 100, Austin, TX 78735-6202

Mailing Address

Phone number

(512) 327-5530

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SAGE ADVISORY SERVICES LTD. CO. (3/28/2025)

Regulatory assets under management

Total Number of Accounts	12,206
AUM (Assets Under Management)	$ 24,975,056,606

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Robert W. Moser

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Wayne Moser's CRS (Customer Relationship Summary).

Certified licenses

Experience

NORTHERN LIGHTS DISTRIBUTORS, LLC

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

GLOBAL ATLANTIC DISTRIBUTORS, LLC

Primary Firm SEC Registration

SAGE ADVISORY SERVICES LTD CO

State Registrations and Notice Filings

Exams

Series 66

Date: 2/19/2016

Series 63

Date: 11/9/2000

Series 7TO

Date: 3/2/2024

SIE

Date: 10/1/2018

Series 7

Date: 3/14/2002

Series 6

Date: 11/15/2000

Current Firm

SAGE ADVISORY SERVICES LTD CO

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SAGE ADVISORY SERVICES LTD CO

TRUST BUT VERIFY

Similar Advisors