MM
Michael J. Moss
THE ASCENT GROUP
ALDIE, VA
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CRD#: 6109175
MM
Professional summary
Michael John Moss JR., CFP®, who also goes by Michael John Moss, Mike Moss, is a registered financial advisor currently at THE ASCENT GROUP, LLC located in Aldie, Virginia.
Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Michael has worked at 4 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Michael John Moss | Mike 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) Summit Group of Virginia, LLP; POSITION: Registered Admin NATURE: DBA for conducting business. INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 04/01/2021 ADDRESS: 192 Ballard Court, Suite 400, Virginia Beach VA 23462, United States DESCRIPTION: I am the Wealth Platform Leader at Alera Group and the President of both Alera Investment Advisors and The Ascent Group. I am a registered admin at Osaic and conduct such activities through Summit Group of Virginia. 2) The Ascent Group,LLC; POSITION: President, Wealth Services NATURE: The Ascent Group, LLC is an SEC-registered RIA. INVESTMENT RELATED: Yes NUMBER OF HOURS: 200 SECURITIES TRADING HOURS: 160 START DATE: 04/01/2021 ADDRESS: 192 Ballard Court, Suite 400 VA 23462, United States DESCRIPTION: I am the Wealth Platform Leader for Alera Group. As part of that role, I serve as President for both The Ascent Group, LLC and Alera Investment Advisors, LLC. 3) ALERA GROUP, INC. / ALERA INVESTMENT ADVISORS, LLC POSITION: President NATURE: Alera Investment Advisors, LLC is an SEC-registered RIA owned by Alera Group, Inc. INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 10/01/2024 ADDRESS: 3 Parkway North, Suite 500, Deerfield IL 60015, United States DESCRIPTION: I am the Wealth Platform Leader for Alera Group, Inc. Alera owns both The Ascent Group, LLC and Alera Investment Advisors, LLC, two separate SEC-registered RIAs. I serve as President for both RIAs in my role leading Wealth for Alera Group.
CRS (Client Relationship Summary) - RIA
Click below to view Michael John Moss JR.'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®
Experience
Current
May 13, 2021 - Present
THE ASCENT GROUP, LLC
Office #2: 192 Ballard Court Suite 400, Virginia Beach, VA 23462RIA
CRD#: 314424
ALDIE, VA
Past
August 23, 2024 - November 7, 2025
OSAIC WEALTH, INC.
BD
CRD#: 23131
Virginia Beach, VA
Past
February 2, 2023 - August 23, 2024
TRIAD ADVISORS LLC
BD
CRD#: 25803
Virginia Beach, VA
Past
April 13, 2021 - May 10, 2021
AMERITAS INVESTMENT COMPANY, LLC
RIA
CRD#: 14869
VIRGINIA BEACH, VA
Past
April 8, 2021 - January 25, 2023
AMERITAS INVESTMENT COMPANY, LLC
BD
CRD#: 14869
VIRGINIA BEACH, VA
Past
January 14, 2014 - April 2, 2021
AMERITAS INVESTMENT COMPANY, LLC
RIA
CRD#: 14869
Aldie, VA
Past
October 26, 2012 - April 2, 2021
AMERITAS INVESTMENT COMPANY, LLC
BD
CRD#: 14869
BETHESDA, MD
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".
TA
THE ASCENT GROUP, LLC
ALERA GROUP RETIREMENT PLAN SERVICES | WALSH & NICHOLSON | THE ASCENT GROUP, LLC | SUMMIT GROUP OF VIRGINIA | SUMMIT GROUP 401K CONSULTING | ALERA GROUP WEALTH SERVICES
CRD#: 314424 / SEC#: 801-121182
RIA
Registered Investment Advisory firm - (5/10/2021 Approved)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
Virginia(5/13/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
TA
THE ASCENT GROUP, LLC
ALERA GROUP RETIREMENT PLAN SERVICES | WALSH & NICHOLSON | THE ASCENT GROUP, LLC | SUMMIT GROUP OF VIRGINIA | SUMMIT GROUP 401K CONSULTING | ALERA GROUP WEALTH SERVICES
CRD#: 314424 / SEC#: 801-121182
RIA
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Contact information
Main Address
192 Ballard Court Suite 400, Virginia Beach, VA 23462
Mailing Address
Phone number
(757) 499-8300
Established
Firm type
Fiscal year end
# of Employees
25
SEC notice filing (25 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 7,304 |
| AUM (Assets Under Management) | $ 4,933,296,606 |
Red Flags
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