RM
Richard L. Moss
NATIONAL WEALTH MANAGEMENT GROUP
Indianapolis, IN 46216
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CRD#: 4362407
RM
Professional summary
Richard L Moss, who also goes by Richard Lee Moss, Richard Moss, is a registered financial advisor currently at NATIONAL WEALTH MANAGEMENT GROUP, LLC located in Indianapolis, Indiana and LPL FINANCIAL LLC located in Indianapolis, Indiana.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Richard has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Richard Lee Moss | Richard Moss
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) 12/12/2011: No Business Name - DBA for LPL Business (entity for LPL business) - Synergy 360 - INV REL - At Reported Business Location(s) (2) 06/27/2016: artistic enterprises - Outside/W-2 Employment - NOT INV REL - Start 07/20/2016 - 4455 McCoy Street Suite 300, Indianapolis, IN 46226 - occasionally I get calls from an agency to audition for print advertising and local commercials - 0 Hr/Mo - Outside/W-2 Employment. (3) 9/29/2020 - NATIONAL WEALTH MANAGEMENT GROUP, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 09/03/2020 - 80 Hours Per Month During Securities Trading - I provide investment advisory services through NATIONAL WEALTH MANAGEMENT GROUP, LLC, an independent investment advisor firm. I started this business activity in 09/2020. I expect to spend approximately 80 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. (4) 4/7/2021 - DAMAR SERVICES INC - Not Investment Related - 6067 DECATUR BLVD INDIANAPOLIS, IN 46241 - Outside/W-2 Employment - Start Date: 3/15/2021 - 40 Hours Per Month/5 Hours During Securities Trading - Facilitate and supervise home visitations and reunification plans when appropriate with at-risk youth and their families in the greater Indianapolis area.
CRS (Client Relationship Summary) - RIA
Click below to view Richard L Moss'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
January 6, 2022 - Present
NATIONAL WEALTH MANAGEMENT GROUP, LLC
Office #1: 9165 Otis Avenue Suite 236-3, Indianapolis, IN 46216Office #2: 11260 Chester Road Suite 250, Cincinnati, OH 45246-0002RIA
CRD#: 174883
Indianapolis, IN
Current
December 16, 2011 - Present
LPL FINANCIAL LLC
Office #1: 9165 Otis Avenue, Suite 243, Indianapolis, IN 46216RIA
BD
CRD#: 6413
Indianapolis, IN
Past
September 3, 2020 - December 31, 2021
NATIONAL WEALTH MANAGEMENT GROUP, LLC
RIA
CRD#: 174883
Indianapolis, IN
Past
December 16, 2011 - January 13, 2021
LPL FINANCIAL LLC
RIA
CRD#: 6413
FORT MILL, SC
Past
December 22, 2009 - December 19, 2011
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
INDIANAPOLIS, IN
Past
December 22, 2009 - December 19, 2011
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
INDIANAPOLIS, IN
Past
May 22, 2008 - December 15, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
INDIANAPOLIS, IN
Past
April 22, 2008 - December 15, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
INDIANAPOLIS, IN
Past
February 7, 2008 - April 2, 2008
SBK-BROOKS INVESTMENT CORP.
BD
CRD#: 35851
INDIANAPOLIS, IN
Past
January 22, 2007 - January 25, 2008
ANDES CAPITAL GROUP, LLC
BD
CRD#: 139212
INDIANAPOLIS, IN
Past
October 20, 2006 - January 19, 2007
CHICAGO INVESTMENT GROUP, LLC
BD
CRD#: 11853
INDIANAPOLIS, IN
Past
May 1, 2001 - May 2, 2006
EDWARD JONES
BD
CRD#: 250
INDIANAPOLIS, IN
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".
NW
NATIONAL WEALTH MANAGEMENT GROUP, LLC
ALPINA FINANCIAL CONSULTANTS | NATIONAL WEALTH MANAGEMENT GROUP, LLC | NATIONAL WEALTH MANAGEMENT GROUP | MODEL WEALTH GROUP, LLC | INFINITE WEALTH PLANNING | GERARDI WEALTH MANAGEMENT, LLC | ALPINA FINANCIAL CONSULTANTS, LLC
CRD#: 174883 / SEC#: 801-80983
RIA
Registered Investment Advisory firm - (2/19/2015 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.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
California(8/20/2020)
RR
Florida(2/25/2013)
RR
Georgia(8/14/2015)
RR
Illinois(2/17/2012)
RR
Indiana(12/16/2011)
IAR
Indiana(1/6/2022)
RR
Kentucky(10/16/2012)
RR
North Carolina(1/12/2024)
RR
Ohio(8/21/2019)
RR
Tennessee(1/2/2024)
RR
Texas(6/8/2015)
IAR
Texas(1/6/2022)
RR
Wisconsin(12/27/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
NW
NATIONAL WEALTH MANAGEMENT GROUP, LLC
ALPINA FINANCIAL CONSULTANTS | NATIONAL WEALTH MANAGEMENT GROUP, LLC | NATIONAL WEALTH MANAGEMENT GROUP | MODEL WEALTH GROUP, LLC | INFINITE WEALTH PLANNING | GERARDI WEALTH MANAGEMENT, LLC | ALPINA FINANCIAL CONSULTANTS, LLC
CRD#: 174883 / SEC#: 801-80983
RIA
Registered Investment Advisory firm - (2/19/2015 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
11260 Chester Road Suite 250, Cincinnati, OH 45246-0002
Mailing Address
Phone number
(513) 772-2592
Established
Firm type
Fiscal year end
# of Employees
19
SEC notice filing (29 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,066 |
| AUM (Assets Under Management) | $ 325,727,820 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
NATIONAL WEALTH MANAGEMENT GROUP, LLC
CRD#: 174883Indianapolis, IN 46216TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
