Scott Frederick Moss
Professional Summary
Scott Frederick Moss was a registered financial advisor. Scott was a previously registered financial professional and started their career in finance 1979 - 2015. Scott had worked at 6 firms and has passed the Series 63, SIE, Series 6, Series 5, Series 7 and Series 8 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
47 years in the financial services industry
Current & Past Employments
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Current Firm
WMSI SECURITIES LLC
Contact Information
Established
New Jersey since 11/23/2004Firm Type
Limited Liability CompanyFiscal Year End
DecemberDocuments
Direct owners and executive officers
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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.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jul 2013About the Series 6 examSeries 5 — Interest Rate Options Examination
Passed Oct 1985Series 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Apr 1984Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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