Andrew Moser
Professional summary
Andrew Moser, ChFC®, CLU®, who also goes by Andrew J Moser, Andrew John Moser, is a registered financial advisor currently at NYLIFE SECURITIES LLC located in Waltham, Massachusetts.
Andrew is registered as a RR (Registered Representative) and started their career in finance in 2007. Andrew has worked at 4 firms and has passed the Series 65, Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Andrew Moser's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 28, 2016 - Present
NYLIFE SECURITIES LLC
Office #1: 201 Jones Road 5th Floor, Waltham, MA 02451July 21, 2015 - August 6, 2015
ELE WEALTH SOLUTIONS, INC.
June 15, 2010 - July 13, 2015
INVESTORS CAPITAL CORP.
February 15, 2008 - December 31, 2009
INVESTORS CAPITAL CORP.
February 11, 2008 - December 31, 2009
INVESTORS CAPITAL CORP.
March 19, 2007 - December 31, 2007
INVESTORS CAPITAL CORP.
March 14, 2007 - December 31, 2007
INVESTORS CAPITAL CORP.
February 2, 2007 - March 20, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
FINRA
Current Firm
NYLIFE SECURITIES LLC
CRD#: 5167 / SEC#: , 8-15517
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NYLIFE LLC. | SHAREHOLDER | |
| BAGTAS, ANGELA CHEN | ELECTED MANAGER | 8172856 |
| BOCCIO, JOHN MICHAEL | CHIEF EXECUTIVE OFFICER AND PRESIDENT | 4600977 |
| DUARTE, DEBORAH LYNN | ELECTED MANAGER | 6090278 |
| ENGELBRECHTSEN, TOM DAHL | CORPORATE VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 2908809 |
| FEINBERG, AMARYA NMN | ELECTED MANAGER | 8162482 |
| GARDNER, ROBERT MICHAEL | ELECTED MANAGER | 6160318 |
| HUANG, DYLAN WEI | ELECTED MANAGER AND CHAIRMAN | 6233208 |
| LOFTUS, PATRICIA ELIZABETH | CORPORATE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | 2156131 |
| SCHWARTZ, RACHEL SABRINA | VICE PRESIDENT AND ASSOCIATE GENERAL COUNSEL | 8170474 |
| TILLOTSON, SANDRA G | ELECTED MANAGER | 7617600 |
| ZAMAN, NABEED | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 6410914 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 7 |
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
NYLIFE SECURITIES LLC
CRD#: 5167Waltham, MA 02451TRUST BUT VERIFY
Monitor Andrew Moser
Get automatic monthly alerts on:
