Todd A. Moser
NORTHROCK PARTNERS
DEER PARK, IL 60010
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CRD#: 4645357
Professional summary
Todd Alan Moser, CFP®, CPWA® is a registered financial advisor currently at NORTHROCK PARTNERS, LLC located in Deer Park, Illinois.
Todd is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Todd has worked at 3 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)Business ownership: MKA Advisors LLC, member/shareholder, this LLC exists for accounting and protection purposes for the cash flow of our business; Barrington, IL 60010; Not Investment Related; Jan 2010; 60+ hours per month; 60+ during trading hours. 2) Children's Heart Foundation Board Member. 3) Fiduciary Activities; Named or act in a fiduciary capacity; such as attorney-in-fact, trustee, conservator, guardian, executor or personal representative. 4) AMTM Real Estate, LLC; 520 West Juneau Avenue, Milwaukee, WI 53202; Office space leasing; Manager; 1/1/2023;1 hour; Duties related as manager. 5) Maintain current IL insurance licensure.
CRS (Client Relationship Summary) - RIA
Click below to view Todd Alan Moser'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: 2008
CPWA®
Start date: 2012-12-13
Expire date: 2024-11-30
Experience
Current
August 9, 2019 - Present
NORTHROCK PARTNERS, LLC
Office #1: 21925 Field Parkway Suite 220, Deer Park, IL 60010RIA
CRD#: 167908
DEER PARK, IL
Past
August 30, 2004 - August 12, 2019
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
BARRINGTON, IL
Past
July 25, 2003 - July 3, 2006
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
July 25, 2003 - August 12, 2019
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
BARRINGTON, IL
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".
NORTHROCK PARTNERS, LLC
3 TACTICAL ADVISOR, LLC | ORPHEUS WEALTH MANAGEMENT, LLC | NORTHROCK PARTNERS, LLC | LIFESTAGE WEALTH MANAGEMENT GROUP | LIFESTAGE WEALTH MANAGEMENT
CRD#: 167908 / SEC#: 801-78194
RIA
Registered Investment Advisory firm - (6/13/2013 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
California(2/8/2024)
IAR
Illinois(8/9/2019)
IAR
Minnesota(2/8/2024)
IAR
North Carolina(2/8/2024)
IAR
Texas(8/9/2019)
IAR
Wisconsin(12/8/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
NORTHROCK PARTNERS, LLC
3 TACTICAL ADVISOR, LLC | ORPHEUS WEALTH MANAGEMENT, LLC | NORTHROCK PARTNERS, LLC | LIFESTAGE WEALTH MANAGEMENT GROUP | LIFESTAGE WEALTH MANAGEMENT
CRD#: 167908 / SEC#: 801-78194
RIA
Registered Investment Advisory firm - (6/13/2013 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
225 South Sixth Street Suite 1400, Minneapolis, MN 55402
Mailing Address
Phone number
(612) 367-8800
Established
Firm type
Fiscal year end
# of Employees
161
SEC notice filing (40 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 12,834 |
| AUM (Assets Under Management) | $ 6,596,242,797 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/26/2025 | ||
| 11/05/2024 | ||
| 01/29/2024 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
NORTHROCK PARTNERS, LLC
CRD#: 167908Deer Park, IL 60010TRUST BUT VERIFY
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