Mitchell W. Moser

WEIS ADVISORY

Clive, IA 50325

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CRD#: 5667386

Professional summary

Mitchell Weissenburger Moser, who also goes by Mitchell Moser, Mitch Moser, is a registered financial advisor currently at WEIS ADVISORY located in Clive, Iowa and LPL FINANCIAL LLC located in Clive, Iowa.

Mitchell is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Mitchell has worked at 7 firms and has passed the Series 65, Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mitchell Moser | Mitch Moser

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. 04/04/2017 - WEISSENBURGER INVESTMENTS AND FINANCIAL PLANNING/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ 50%/ CLIVE, IA (2) 04/11/2017-Weis Advisory-investment related- At reported business location(s)- Registered Investment Advisor Hybrid-IAR- start 4/1/17- Hours per month 30/ Hours during trading 1- Time spent percent 20%-I provide investment advisory services through Weis Advisory, an independent investment advisor firm. I started this business activity in 3/2017. I expect to spend approximately 30 hours per month on this activity. Please see the advisory firms Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mitchell Weissenburger Moser's CRS (Customer Relationship Summary).

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

October 26, 2017 - Present

WEIS ADVISORY

Office #1: 16400 Sheridan Avenue, Clive, IA 50325

RIA

CRD#: 217517

Clive, IA

Current

April 4, 2017 - Present

LPL FINANCIAL LLC

Office #1: 16400 Sheridan Avenue, Clive, IA 50325

RIA

CRD#: 6413

Clive, IA

Past

September 30, 2015 - July 27, 2016

MORGAN STANLEY INVESTMENT MANAGEMENT INC.

RIA

CRD#: 110353

CHICAGO, IL

Past

September 30, 2015 - July 27, 2016

MORGAN STANLEY DISTRIBUTION, INC.

CRD#: 30344

CHICAGO, IL

Past

June 21, 2013 - January 28, 2016

MORGAN STANLEY

RIA

CRD#: 149777

CHICAGO, IL

Past

June 19, 2013 - January 28, 2016

MORGAN STANLEY

CRD#: 149777

PURCHASE, NY

Past

May 25, 2010 - December 31, 2011

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

CLIVE, IA

Past

June 19, 2009 - July 16, 2009

SII INVESTMENTS, INC.

CRD#: 2225

CLIVE, IA

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".

WEIS ADVISORY

WEIS ADVISORY | WEIS ADVISORY, LLC

CRD#: 217517 / SEC#: 801-123482

RIA

Registered Investment Advisory firm - (3/18/2022 Approved)

Iowa

Registered Investment Advisory firm - (5/18/2022 Terminated)

Texas

Registered Investment Advisory firm - (5/17/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(6/19/2018)

California
(10/20/2017)

Colorado
(9/15/2017)

Florida
(5/8/2018)

Idaho
(1/21/2021)

Illinois
(4/25/2017)

Indiana
(9/20/2024)

Iowa
(4/4/2017)

IAR

Iowa
(10/26/2017)

Kansas
(3/1/2022)

Maryland
(5/19/2021)

Massachusetts
(8/14/2017)

Michigan
(5/26/2022)

Minnesota
(4/25/2017)

Missouri
(10/20/2021)

Montana
(5/13/2020)

Nebraska
(7/17/2017)

Nevada
(12/10/2024)

New York
(7/11/2017)

North Carolina
(4/14/2021)

Ohio
(1/16/2024)

Oregon
(7/16/2025)

Pennsylvania
(8/18/2023)

South Dakota
(5/20/2021)

Texas
(10/16/2019)

Washington
(5/4/2023)

Wisconsin
(10/1/2018)

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

State Security Law Exam

IAR

Series 65

Date: 7/2/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 8/11/2010

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/21/2009

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/3/2009

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

WEIS ADVISORY

WEIS ADVISORY | WEIS ADVISORY, LLC

CRD#: 217517 / SEC#: 801-123482

RIA

Registered Investment Advisory firm - (3/18/2022 Approved)

Iowa

Registered Investment Advisory firm - (5/18/2022 Terminated)

Texas

Registered Investment Advisory firm - (5/17/2022 Terminated)

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Contact information

Main Address

16400 Sheridan Avenue, Clive, IA 50325

Mailing Address

16400 Sheridan Avenue, Clive, IA 50325

Phone number

(888) 978-2082

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV 2A WITH APPENDIX 1- FIRM DISCLOSURE BROCHURE (3/27/2025)

Regulatory assets under management

Total Number of Accounts	684
AUM (Assets Under Management)	$ 187,907,311

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Mitchell W. Moser

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mitchell Weissenburger Moser's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

MORGAN STANLEY INVESTMENT MANAGEMENT INC.

MORGAN STANLEY DISTRIBUTION, INC.

MORGAN STANLEY

MORGAN STANLEY

RAYMOND JAMES FINANCIAL SERVICES, INC.

SII INVESTMENTS, INC.

Primary Firm SEC Registration

WEIS ADVISORY

State Registrations and Notice Filings

Exams

Series 65

Date: 7/2/2013

Series 66

Date: 8/11/2010

Series 63

Date: 5/21/2009

SIE

Date: 10/1/2018

Series 7

Date: 6/3/2009

FINRA

Current Firm

WEIS ADVISORY

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WEIS ADVISORY

TRUST BUT VERIFY

Contact information

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