AM
Angela C. Moffat
OSAIC INSTITUTIONS
Johnstown, PA 15905
Some features on this profile are disabled
CRD#: 5855235
AM
Professional summary
Angela Catherine Weber Moffat, who also goes by Angela Catherine Pecori, Angela Catherine Weber, is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Johnstown, Pennsylvania.
Angela is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Angela has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Angela Catherine Pecori | Angela Catherine Weber
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.) 1ST SUMMIT Bank. Johnstown, PA. Started Jan 2022. Yes, Investment related. Financial Advisor, banking. 2.) Westmoreland Intermediate Foundation.Board member. Not investment related. Approx 2 hours not during trading hours. The Foundation is a 501(c)(3) organization intended to create a more cohesive partnership between the Westmoreland Intermediate Unit and the community it serves. 3.) Ligonier Valley Historical Society. Board Member. Not investment related. Started June 2022. Approx 4 hours per month not during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Angela Catherine Weber Moffat's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Angela Catherine Weber 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
January 6, 2022 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 1560 Menoher Boulevard, Johnstown, PA 15905Office #2: 125 Donald Lane, Johnstown, PA 15904Office #3: 600 Main Street, Johnstown, PA 15901Office #4: 1825 Oakland Avenue, Indiana, PA 15701Office #5: 404 North Center Avenue, Somerset, PA 15501Office #6: 2200 Greengate Center Boulevard, Greensburg, PA 15601Office #7: 332 Unity Plaza, Latrobe, PA 15650Office #8: 4510 William Penn Highway, Murrysville, PA 15668Office #9: 5150 Us - 30, Greensburg, PA 15601RIA
BD
CRD#: 35371
Johnstown, PA
Current
January 6, 2022 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 1560 Menoher Boulevard, Johnstown, PA 15905Office #2: 125 Donald Lane, Johnstown, PA 15904Office #3: 600 Main Street, Johnstown, PA 15901Office #4: 1825 Oakland Avenue, Indiana, PA 15701Office #5: 404 North Center Avenue, Somerset, PA 15501Office #6: 2200 Greengate Center Boulevard, Greensburg, PA 15601Office #7: 332 Unity Plaza, Latrobe, PA 15650Office #8: 4510 William Penn Highway, Murrysville, PA 15668Office #9: 5150 Us - 30, Greensburg, PA 15601RIA
BD
CRD#: 35371
Johnstown, PA
Past
April 16, 2018 - November 1, 2021
OSAIC INSTITUTIONS, INC.
RIA
CRD#: 35371
New Alexandria, PA
Past
April 16, 2018 - November 1, 2021
OSAIC INSTITUTIONS, INC.
BD
CRD#: 35371
New Alexandria, PA
Past
September 21, 2016 - April 6, 2018
KEY INVESTMENT SERVICES LLC
RIA
CRD#: 136300
MT PLEASANT, PA
Past
September 21, 2016 - April 6, 2018
KEY INVESTMENT SERVICES LLC
BD
CRD#: 136300
MT PLEASANT, PA
Past
August 4, 2015 - September 21, 2016
LPL FINANCIAL LLC
RIA
CRD#: 6413
SMITHTON, PA
Past
November 18, 2010 - September 21, 2016
LPL FINANCIAL LLC
BD
CRD#: 6413
SMITHTON, PA
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".
OI
OSAIC INSTITUTIONS, INC.
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
RIA
Registered Investment Advisory firm - SEC (11/2/2006 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Maine
Registered Investment Advisory firm - SEC (12/7/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (3/23/2007 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Ohio
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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.RR
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
RR
Florida(1/21/2022)
RR
Kentucky(1/26/2022)
RR
North Carolina(6/7/2022)
RR
Pennsylvania(1/6/2022)
IAR
Pennsylvania(1/6/2022)
RR
South Carolina(6/7/2022)
RR
Texas(5/9/2025)
IAR
Texas(5/10/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
OI
OSAIC INSTITUTIONS, INC.
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
RIA
Registered Investment Advisory firm - SEC (11/2/2006 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Maine
Registered Investment Advisory firm - SEC (12/7/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (3/23/2007 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Ohio
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
538 Preston Avenue, Meriden, CT 06450-4858
Mailing Address
538 Preston Avenue, Meriden, CT 06450-4858
Phone number
(203) 599-6000
Established
Connecticut since 04/07/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
630
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC INSTITUTIONS HOLDINGS, INC. | HOLDING COMPANY | |
| AMARANTE, STEPHEN PAUL | PRESIDENT, CEO AND DIRECTOR | 3165067 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| MITCHELL, CHRISTOPHER MILLS | CORPORATE TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR AND EXECUTIVE VICE PRESIDENT OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
Regulatory assets under management
| Total Number of Accounts | 8,779 |
| AUM (Assets Under Management) | $ 4,024,448,971 |
Disclosures
| Regulatory Event | 8 |
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.
