Amber M. Moser

WINTHROP WEALTH

BELLEVUE, WA 98004

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CRD#: 6382815

Professional summary

Amber Michele Moser, CFP®, who also goes by Amber M Moser, Amber Moser, is a registered financial advisor currently at WINTHROP WEALTH located in Bellevue, Washington.

Amber is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Amber has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Amber M Moser | Amber 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.

Keel Fiancial Partners - At Registered Business Location(s) - DBA Entity for tax/employment purposes - Financial Advisor - 11/2022 - 160 hr./mo. - 8 hr./d

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Amber Michele 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®

CFP^®

Certified Financial Planner

Experience

Current

November 15, 2022 - Present

WINTHROP WEALTH

Office #1: 10900 Ne 4th St Suite 2300, Bellevue, WA 98004

RIA

CRD#: 288178

BELLEVUE, WA

Past

April 11, 2017 - December 2, 2022

PRIVATE ADVISOR GROUP, LLC

RIA

CRD#: 155216

Bellevue, WA

Past

April 30, 2015 - October 6, 2020

LPL FINANCIAL LLC

RIA

CRD#: 6413

BELLEVUE, WA

Past

January 22, 2015 - December 20, 2024

LPL FINANCIAL LLC

CRD#: 6413

BELLEVUE, WA

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".

WINTHROP WEALTH

CRD#: 288178 / SEC#: 801-110461

RIA

Registered Investment Advisory firm - (4/28/2017 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

Tennessee
(11/14/2024)

IAR

Washington
(11/15/2022)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/29/2015

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/22/2015

General Securities Representative Examination

Current Firm

WINTHROP WEALTH

CRD#: 288178 / SEC#: 801-110461

RIA

Registered Investment Advisory firm - (4/28/2017 Approved)

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Contact information

Main Address

321 Columbus Ave 3rd Fl, Boston, MA 02116-5168

Mailing Address

Phone number

(617) 530-1010

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (26 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE FOR WINTHROP ADVISORY GROUP, LLC (3/21/2025)

WRAP FEE BROCHURE FOR WINTHROP ADVISORY GROUP, LLC (3/20/2025)

Regulatory assets under management

Total Number of Accounts	3,872
AUM (Assets Under Management)	$ 2,600,886,145

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.

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Firm Stability Insights

Amber M. Moser

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Amber Michele Moser's CRS (Customer Relationship Summary).

Certified licenses

Experience

WINTHROP WEALTH

PRIVATE ADVISOR GROUP, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

Primary Firm SEC Registration

WINTHROP WEALTH

State Registrations and Notice Filings

Exams

Series 66

Date: 4/29/2015

SIE

Date: 10/1/2018

Series 7

Date: 1/22/2015

Current Firm

WINTHROP WEALTH

Contact information

SEC notice filing (26 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WINTHROP WEALTH

TRUST BUT VERIFY

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