Douglas Scott Moxham
CFP®Professional Summary
Douglas Scott Moxham, CFP® is a registered financial advisor currently at CITIZENS PRIVATE WEALTH located in Marlton, New Jersey and CITIZENS SECURITIES, INC. located in Marlton, New Jersey. Douglas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Douglas has worked at 5 firms and has passed the Series 63, Series 66, Series 7TO, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
RBC CAPITAL MARKETS, LLC
ROFFMAN MILLER ASSOCIATES INC
CERITY PARTNERS RETIREMENT PLAN CONSULTANTS
OPPENHEIMER & CO. INC.
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
RBC CAPITAL MARKETS, LLC
ROFFMAN MILLER ASSOCIATES INC
CERITY PARTNERS RETIREMENT PLAN CONSULTANTS
OPPENHEIMER & CO. INC.
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
RBC CAPITAL MARKETS, LLC
ROFFMAN MILLER ASSOCIATES INC
CERITY PARTNERS RETIREMENT PLAN CONSULTANTS
OPPENHEIMER & CO. INC.
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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
RBC CAPITAL MARKETS, LLC
ROFFMAN MILLER ASSOCIATES INC
CERITY PARTNERS RETIREMENT PLAN CONSULTANTS
OPPENHEIMER & CO. INC.
Credentials
Years of Experience
25 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
RBC CAPITAL MARKETS, LLC
ROFFMAN MILLER ASSOCIATES INC
CERITY PARTNERS RETIREMENT PLAN CONSULTANTS
OPPENHEIMER & CO. INC.
Current Firm
CITIZENS PRIVATE CLIENT | ESTATE PRESERVATION SERVICES, LLC | CLARFELD FINANCIAL ADVISORS, LLC | CLARFELD FINANCIAL ADVISORS INC | CLARFELD | CITIZENS PRIVATE WEALTH, LLC | CITIZENS PRIVATE WEALTH
Contact Information
Main Address
520 White Plains Road 3rd Floor, Tarrytown, NY 10591Phone Number
(914) 846-0100# of Employees
214SEC notice filing (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
12,118AUM (Assets Under Management)
$16,634,578,146Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 05/01/2026 | Cover Page | Report |
| 01/28/2025 | Cover Page | Report |
| 07/28/2023 | Cover Page | Report |
Similar Advisors
RBC CAPITAL MARKETS, LLC
ROFFMAN MILLER ASSOCIATES INC
CERITY PARTNERS RETIREMENT PLAN CONSULTANTS
OPPENHEIMER & CO. INC.
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
RBC CAPITAL MARKETS, LLC
ROFFMAN MILLER ASSOCIATES INC
CERITY PARTNERS RETIREMENT PLAN CONSULTANTS
OPPENHEIMER & CO. INC.
Primary Firm SEC Registration
CITIZENS PRIVATE CLIENT | ESTATE PRESERVATION SERVICES, LLC | CLARFELD FINANCIAL ADVISORS, LLC | CLARFELD FINANCIAL ADVISORS INC | CLARFELD | CITIZENS PRIVATE WEALTH, LLC | CITIZENS PRIVATE WEALTH
State Registrations and Notice Filings
(4/9/2025)
(4/9/2025)
(4/9/2025)
(4/11/2025)
(5/2/2025)
(5/2/2025)
(3/10/2025)
(3/10/2025)
(4/9/2025)
(4/9/2025)
(3/12/2021)
(4/9/2025)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
Similar Advisors
RBC CAPITAL MARKETS, LLC
ROFFMAN MILLER ASSOCIATES INC
CERITY PARTNERS RETIREMENT PLAN CONSULTANTS
OPPENHEIMER & CO. INC.
CRS (Client Relationship Summary) - RIA
Click below to view Douglas Scott Moxham's CRS (Customer Relationship Summary).
Similar Advisors
RBC CAPITAL MARKETS, LLC
ROFFMAN MILLER ASSOCIATES INC
CERITY PARTNERS RETIREMENT PLAN CONSULTANTS
OPPENHEIMER & CO. INC.