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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.
The advisor shows no other business activity.

Blog Corner

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®
None

Experience

Current

May 25, 2022 - Present

ALIGNED ADVISORS

Office #1: 1696 Ord Way, Oceanside, CA 92056
RIA
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
RR
IAR
Series 66
Date: 1/10/2006
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 11/3/2014
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/22/2004
General Securities Representative Examination

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)
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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

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts53
AUM (Assets Under Management)$ 22,250,619

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.

Company Information

ALIGNED ADVISORS

CRD#: 173796Oceanside, CA 92056

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