JM
Jonathan R. Moffat
ALIGNED ADVISORS
Oceanside, CA 92056
Some features on this profile are disabled
CRD#: 4786167
JM
Professional summary
Jonathan Robert Moffat is a registered financial advisor currently at ALIGNED ADVISORS located in Oceanside, California.
Jonathan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Jonathan has worked at 2 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.
Launch Dental, LLC the business is not investment-related. The address is 40710 California Oaks Rd. Suite B, Murrieta CA 92562. The business is a operations management company for dental practices. My position is a board member, Title is secretary. I started there 1/1/2018 and I spend about 8 hrs a month on the business. My duties include monthly board meetings and being available for advisory phone calls and meetings throughout the month as needed. DSO CFO, LLC the business is not investment-related. The address is 325 Carlsbad Village Dr. Suite D2 Carlsbad, CA 92008. The business provides book keeping, A/P and payroll services to dental practices. My position is a partner and my role is to collaborate with the other partners on business development, client services and enhancing the overall client experience. My title is partner. I spend about 10 hours a month on this business. Ubuntu Management, LLC the business is investment related. The address is 2794 Gateway Road, Carlsbad, CA 92009. The business provides management services to companies it buys. I spend less 1 hour per month on this business. My role used to be prospecting. I currently have no duties in this business. Started 1/1/2021. Aligned Tax: Has no physical location but established in the state of Utah provides consulting and back office services to Accountants, CPA, and bookkeepers. I spend 0 hours per month on this business. I have no active role or position with this company. started 12/1/2020. Moffat Financial and Insurance Services: The primary use of this business was to sell insurance products to employees of Adventist Health employees. Jonathan is not actively involved with this business and although he holds an active insurance license with the state of CA he no longer sells insurance. Jonathan does service about 15 "legacy clients" from this previous business. This business has no physical location. Jonathan spends approx. 1 hour per month on this business. It was started in 2006. Bar N Bar, LLC, located at 1696 Ord Way Oceanside, CA 92056. This is a property management company. I'm not sure why but the state of California wanted me to list this on here for some reason so I am. It owns the building that offices Aligned Advisors. There are no outside investors, it is not investment related It was started on 08/2021. Jonathan spends 0 hours on this business and has no active roles or responsibilities. CashBack Processing; Investment related: No; 1696 Ord Way Oceanside CA 92056 United States; Marketing company for a credit card processing company. Collects credit card statements to send over to credit card company to determine savings on merchant services fees.; Member; 2023-08-01; Hours per month devoted to business during trading hours: 1; Hours per month devoted to business outside trading hours: 0; Percentage of total yearly compensation expected to be derived from the business: 2;
CRS (Client Relationship Summary) - RIA
Click below to view Jonathan Robert Moffat'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
May 25, 2022 - Present
ALIGNED ADVISORS
Office #1: 1696 Ord Way, Oceanside, CA 92056RIA
CRD#: 173796
Oceanside, CA
Past
March 15, 2019 - December 31, 2021
ALIGNED ADVISORS
RIA
CRD#: 173796
CARLSBAD, CA
Past
May 22, 2015 - December 31, 2018
ALIGNED ADVISORS
RIA
CRD#: 173796
LA JOLLA, CA
Past
January 11, 2006 - November 3, 2014
PLANMEMBER SECURITIES CORPORATION
RIA
CRD#: 11869
BONSALL, CA
Past
April 23, 2004 - November 3, 2014
PLANMEMBER SECURITIES CORPORATION
BD
CRD#: 11869
BONSALL, CA
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(5/25/2022)
IAR
Louisiana(5/6/2024)
IAR
Texas(4/12/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
AA
ALIGNED ADVISORS
ALIGNED ADVISORS | UBUNTU MANAGEMENT | T.B.B DENTAL SERVICES | MOFFAT FINANCIAL AND INSURANCE SERVICES | DSO CFO | ALIGNED ADVISORS, LLC
CRD#: 173796 / SEC#:
California
Registered Investment Advisory firm - (5/25/2022 Approved)Idaho
Registered Investment Advisory firm - (4/4/2024 Approved)Louisiana
Registered Investment Advisory firm - (5/6/2024 Approved)Texas
Registered Investment Advisory firm - (4/12/2023 Conditional Restricted)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1696 Ord Way, Oceanside, CA 92056
Mailing Address
Phone number
(858) 752-7179
Established
Firm type
Fiscal year end
# of Employees
3
Regulatory assets under management
| Total Number of Accounts | 53 |
| AUM (Assets Under Management) | $ 22,250,619 |
Red Flags
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