Andrew Moss
Professional summary
Andrew Moss, who also goes by Andrew Brian Moss, is a registered financial advisor currently at STEELPEAK WEALTH, LLC located in State Road, North Carolina.
Andrew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Andrew has worked at 6 firms and has passed the Series 65, Series 63, Series 57TO, SIE, Series 44, Series 55, Series 3, Series 7, Series 10, Series 9 and Series 24 exams.
At a Glance
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Andrew Moss's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 11, 2026 - Present
STEELPEAK WEALTH, LLC
May 22, 2020 - April 3, 2026
MORGAN STANLEY
August 9, 2019 - April 3, 2026
MORGAN STANLEY
August 9, 2012 - August 1, 2019
DASH FINANCIAL TECHNOLOGIES LLC
June 14, 2007 - January 24, 2013
SRT SECURITIES LLC
June 30, 2005 - June 15, 2007
LEHMAN BROTHERS INC.
February 10, 2005 - May 6, 2005
SPECTRA DERIVATIVES GROUP LLC
Primary Firm SEC Registration
STEELPEAK WEALTH, LLC
CRD#: 165168 / SEC#: 801-77132
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(8/11/2026)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 44
Date: 4/15/2009
PCX Market Maker ExamSeries 55
Date: 5/7/2007
Limited Representative-Equity Trader ExamCurrent Firm
STEELPEAK WEALTH, LLC
CRD#: 165168 / SEC#: 801-77132
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 8,369 |
| AUM (Assets Under Management) | $ 3,439,042,634 |
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.
