JM
Jacob A. Moss
RCM WEALTH ADVISORS
Chicago, IL 60606
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CRD#: 6018215
JM
Professional summary
Jacob Alan Moss, who also goes by Jake Moss, is a registered financial advisor currently at RCM WEALTH ADVISORS located in Chicago, Illinois.
Jacob is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Jacob has worked at 4 firms and has passed the Series 66, SIE, Series 7, Series 3 and Series 30 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jake Moss
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. USD 412-HOXIE HIGH SCHOOL| 1100 QUEEN AVE HOXIE, KS 67740|NATURE OF BUSINESS: EDUCATION| NON-INVESTMENT RELATED| BUSINESS POSITION, TITLE OR ASSOCIATION: HEAD COACH| DUTIES: HEAD BASKETBALL COACH|START DATE: 12.20.2011|HOURS DEVOTED TO BUSINESS: 20 HOURS/MONTH|HOURS DEVOTED TO BUSINESS DURING MARKET HOURS: 0 HOURS/MONTH.
2. MOSS CATTLE COMPANY| 1141 TRAIL HOXIE, KS 67740| NATURE OF BUSINESS: AGRICULTURE/RANCHING| NON-INVESTMENT RELATED| BUSINESS POSITION, TITLE OR ASSOCIATION: OWNER| DUTIES: COW/CALF OPERATION| START DATE: 4.22.2013| HOURS DEVOTED TO BUSINESS: 10 HOURS/MONTH| HOURS DEVOTED TO BUSINESS DURING MARKET HOURS: 0 HOURS/MONTH.
3. JM COMMODITIES| 617 MAIN HOXIE, 67740|NATURE OF BUSINESS: COMMODITIES BROKER| INVESTMENT RELATED - COMMODITIES| OWNER/BROKER| DUTIES: ASSIST CLIENTS WITH TRADING HEDGE & SPECULATIVE FUTURES| START DATE: 9.1.2014| HOURS DEVOTED TO BUSINESS: 80 HOURS/MONTH| HOURS DEVOTED TO BUSINESS DURING MARKET HOURS: 5 HOURS/MONTH.
4. NWK AGENCY SERVICES, INC.| 617 MAIN HOXIE, KS 67740| NATURE OF BUSINESS: CORPORATION FOR UCM BUSINESS| INVESTMENT RELATED| PRESIDENT/OWNER| DUTIES: RUN COMMISSIONS FROM UCM BUSINESS THROUGH COMPANY| START DATE: 12.24.2013| HOURS DEVOTED TO BUSINESS: 160 HOURS/MONTH| HOURS DEVOTED TO BUSINESS DURING MARKET HOURS: 8 HOURS/MONTH.
5. : DBA - UNITED CAPITAL MANAGEMENT OF KS| 104 E IRON SALINA, KS 67401| NATURE OF BUSINESS: FINANCE| INVESTMENT RELATED| INVESTMENT CONSULTANT| DUTIES: INVESTMENT ANALYSIS, BUILD PORTFOLIOS| START DATE: 4.1.2015| HOURS DEVOTED TO BUSINESS: 40 HRS/MONTH| HOURS DEVOTED TO BUSINESS DURING MARKET HOURS: 40 HOURS/MONTH.
6. UNITED CAPITAL MANAGEMENT OF KS, INC - RIA | 104 E IRON SALINA, KS 67401| NATURE OF BUSINESS: REGISTERED INVESTMENT ADVISOR| INVESTMENT RELATED| INVESTMENT CONSULTANT| DUTIES: INVESTMENT ANALYSIS, BUILD PORTFOLIOS| START DATE: 4.13.2015| HOURS DEVOTED TO BUSINESS: 10 HRS/MONTH| HOURS DEVOTED TO BUSINESS DURING MARKET HOURS: 10 HOURS/MONTH.
7. HOXIE GOLF CLUB| P.O. BOX 471, HOXIE, KS 67740| NON-PROFIT NON-INVESTED RELATED| TREASURER/BOARD MEMBER| DUTIES: COLLECT DUES/PAY BILLS/PROCESS GOLF MEMBERSHIPS| START DATE: 12/2013| HOURS DEVOTED TO BUSINESS: 5 HRS/MONTH| 0 HRS DEVOTED DURING MARKET HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Jacob Alan Moss'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
September 2, 2020 - Present
RCM WEALTH ADVISORS
Office #1: 318 W Adams St 10th Floor, Chicago, IL 60606RIA
CRD#: 153641
Chicago, IL
Past
March 18, 2015 - August 24, 2020
STONEX SECURITIES INC.
BD
CRD#: 18456
Hoxie, KS
Past
February 11, 2015 - August 24, 2020
UNITED CAPITAL MANAGEMENT OF KANSAS, INC.
RIA
CRD#: 157755
HOXIE, KS
Past
April 19, 2012 - August 19, 2014
WADDELL & REED
RIA
CRD#: 866
HAYS, KS
Past
March 19, 2012 - August 19, 2014
WADDELL & REED
BD
CRD#: 866
HAYS, KS
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".
RW
RCM WEALTH ADVISORS
KNOW YOUR OPTIONS INC. | RCM WEALTH MANAGEMENT | RCM WEALTH ADVISORS | RCM PRIVATE CLIENT | RCM CORPORATE BENEFITS | RCM ACCESS | KNOW YOUR OPTIONS LLC
CRD#: 153641 / SEC#: 801-92177
RIA
Registered Investment Advisory firm - (4/20/2015 Approved)California
Registered Investment Advisory firm - (5/22/2015 Terminated)Illinois
Registered Investment Advisory firm - (4/22/2015 Terminated)Indiana
Registered Investment Advisory firm - (4/22/2015 Terminated)New York
Registered Investment Advisory firm - (4/22/2015 Terminated)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
Illinois(9/4/2020)
IAR
Kansas(9/2/2020)
IAR
Texas(9/2/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
RW
RCM WEALTH ADVISORS
KNOW YOUR OPTIONS INC. | RCM WEALTH MANAGEMENT | RCM WEALTH ADVISORS | RCM PRIVATE CLIENT | RCM CORPORATE BENEFITS | RCM ACCESS | KNOW YOUR OPTIONS LLC
CRD#: 153641 / SEC#: 801-92177
RIA
Registered Investment Advisory firm - (4/20/2015 Approved)California
Registered Investment Advisory firm - (5/22/2015 Terminated)Illinois
Registered Investment Advisory firm - (4/22/2015 Terminated)Indiana
Registered Investment Advisory firm - (4/22/2015 Terminated)New York
Registered Investment Advisory firm - (4/22/2015 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
318 W Adams St 10th Floor, Chicago, IL 60606
Mailing Address
Phone number
(866) 903-1822
Established
Firm type
Fiscal year end
# of Employees
14
SEC notice filing (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 941 |
| AUM (Assets Under Management) | $ 324,000,000 |
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.
