JM
John K. Moy
NFSG
BALTIMORE, MD
Some features on this profile are disabled
CRD#: 848350
JM
Professional summary
John Kirkland Moy, CIMA® is a registered financial advisor currently at NFSG CORPORATION located in Baltimore, Maryland and NEWBRIDGE SECURITIES CORPORATION located in Baltimore, Maryland.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1978. John has worked at 17 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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) JOHN MOY OWNER RENTAL PROPERTY - BALTIMORE, MD - 04/2023 - NOT INVESTMENT RELATED - RENTAL PROPERTY INCOME - 100 PERCENT INTEREST AS OWNER - TIME SPENT AS NEEDED - ONGOING. 2) JOHN MOY INSURANCE - BALTIMORE, MD - 03/2023 - INSURANCE AND FIXED INSURANCE SALES - ONGOING
CRS (Client Relationship Summary) - RIA
Click below to view John Kirkland Moy'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
September 12, 2019 - Present
NFSG CORPORATION
RIA
CRD#: 130814
BALTIMORE, MD
Current
June 7, 2019 - Present
NEWBRIDGE SECURITIES CORPORATION
BD
CRD#: 104065
BALTIMORE, MD
Past
May 3, 2019 - June 6, 2019
INTERNATIONAL ASSETS ADVISORY, LLC
BD
CRD#: 10645
ORLANDO, FL
Past
April 13, 2018 - April 29, 2019
B. RILEY WEALTH ADVISORS, INC.
RIA
CRD#: 115927
BOCA RATON, FL
Past
March 15, 2018 - April 29, 2019
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
BOCA RATON, FL
Past
August 11, 2017 - March 29, 2018
MORGAN STANLEY
RIA
CRD#: 149777
WEST PALM BEACH, FL
Past
August 11, 2017 - March 29, 2018
MORGAN STANLEY
BD
CRD#: 149777
WEST PALM BEACH, FL
Past
September 16, 2005 - August 15, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
WEST PALM BEACH, FL
Past
September 16, 2005 - August 15, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
WEST PALM BEACH, FL
Past
July 1, 2003 - September 19, 2005
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
BALTIMORE, MD
Past
July 1, 2003 - September 19, 2005
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
June 5, 1998 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
RIA
CRD#: 7471
BALTIMORE, MD
Past
May 31, 1998 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
March 8, 1991 - June 10, 1998
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
April 11, 1988 - April 1, 1991
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
February 28, 1986 - April 11, 1988
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
Past
November 6, 1984 - February 24, 1986
KUHNS BROTHERS & LAIDLAW, INC.
BD
CRD#: 1481
Past
May 11, 1984 - October 26, 1984
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
Past
November 25, 1981 - May 30, 1984
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
Past
November 24, 1980 - December 10, 1981
FIRST UNION CAPITAL MARKETS CORP.
BD
CRD#: 6124
Past
March 13, 1979 - December 7, 1980
BROKERS EXCHANGE, INC.
BD
CRD#: 7894
Past
February 1, 1978 - December 7, 1980
SALKIN, WELCH & CO., INCORPORATED
BD
CRD#: 4124
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".
NC
NFSG CORPORATION
NEWBRIDGE FINANCIAL SERVICES GROUP, INC. | NFSG CORPORATION | NEWBRIDGE FINANCIAL SERVICES, INC.
CRD#: 130814 / SEC#: 801-68448
RIA
Registered Investment Advisory firm - (11/6/2007 Approved)Arizona
Registered Investment Advisory firm - (11/8/2007 Terminated)California
Registered Investment Advisory firm - (11/8/2007 Terminated)Connecticut
Registered Investment Advisory firm - (11/8/2007 Terminated)Florida
Registered Investment Advisory firm - (12/12/2007 Terminated)Illinois
Registered Investment Advisory firm - (11/6/2007 Terminated)Indiana
Registered Investment Advisory firm - (11/8/2007 Terminated)Nevada
Registered Investment Advisory firm - (12/17/2007 Terminated)New Jersey
Registered Investment Advisory firm - (11/14/2007 Terminated)North Carolina
Registered Investment Advisory firm - (11/8/2007 Terminated)Pennsylvania
Registered Investment Advisory firm - (11/13/2007 Terminated)Tennessee
Registered Investment Advisory firm - (12/8/2007 Terminated)Texas
Registered Investment Advisory firm - (11/8/2007 Terminated)Virginia
Registered Investment Advisory firm - (11/8/2007 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.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
Arizona(9/13/2019)
RR
California(9/13/2019)
RR
Delaware(5/28/2021)
RR
District of Columbia(9/19/2019)
RR
Florida(9/12/2019)
IAR
Florida(9/12/2019)
RR
Georgia(11/5/2021)
RR
Louisiana(6/5/2020)
IAR
Louisiana(6/5/2020)
RR
Maryland(9/19/2019)
IAR
Maryland(7/7/2022)
RR
Nevada(1/21/2022)
RR
New York(6/24/2020)
RR
Pennsylvania(12/15/2021)
RR
South Carolina(8/17/2021)
RR
South Dakota(2/26/2025)
IAR
Texas(12/1/2021)
RR
Texas(1/7/2022)
RR
Virginia(9/16/2019)
RR
West Virginia(4/27/2020)
RR
Wisconsin(12/23/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
NC
NFSG CORPORATION
NEWBRIDGE FINANCIAL SERVICES GROUP, INC. | NFSG CORPORATION | NEWBRIDGE FINANCIAL SERVICES, INC.
CRD#: 130814 / SEC#: 801-68448
RIA
Registered Investment Advisory firm - (11/6/2007 Approved)Arizona
Registered Investment Advisory firm - (11/8/2007 Terminated)California
Registered Investment Advisory firm - (11/8/2007 Terminated)Connecticut
Registered Investment Advisory firm - (11/8/2007 Terminated)Florida
Registered Investment Advisory firm - (12/12/2007 Terminated)Illinois
Registered Investment Advisory firm - (11/6/2007 Terminated)Indiana
Registered Investment Advisory firm - (11/8/2007 Terminated)Nevada
Registered Investment Advisory firm - (12/17/2007 Terminated)New Jersey
Registered Investment Advisory firm - (11/14/2007 Terminated)North Carolina
Registered Investment Advisory firm - (11/8/2007 Terminated)Pennsylvania
Registered Investment Advisory firm - (11/13/2007 Terminated)Tennessee
Registered Investment Advisory firm - (12/8/2007 Terminated)Texas
Registered Investment Advisory firm - (11/8/2007 Terminated)Virginia
Registered Investment Advisory firm - (11/8/2007 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1200 North Federal Highway Suite 400, Boca Raton, FL 33432
Mailing Address
Phone number
(954) 334-3450
Established
Firm type
Fiscal year end
# of Employees
89
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,587 |
| AUM (Assets Under Management) | $ 813,494,847 |
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.
