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David Moss

Janney Montgomery Scott LLC
43 Years of Experience
Fairfield, CT
1 DisclosureBroker
View SEC Summary
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David Moss is a registered investment advisor at Janney Montgomery Scott LLC, based in Fairfield, CT, with 43 years of industry experience. David is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Charitable Giving, Education Planning, Estate Planning, and 6 more. Their firm serves 243,808 clients with $110B in assets under management.

Janney Montgomery Scott LLC
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
1340 advisors
Number of Clients
243,808 clients
Average Client Portfolio
$452K average
Assets Under Management
$110.1B

Fee Structure

Minimum Investment:$5K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $500K2.00%
$500K - $1.0M2.00%
$1.0M - $2.0M2.00%
$2.0M - $5.0M2.00%
$5.0M - $10.0M2.00%
$10.0M - $25.0M2.00%
$25M+2.00%

Fees represent maximum financial advisor fees; additional third-party manager sub-advisory fees may apply depending on the program. All fees are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

2150 Post Road, 2nd Floor, Fairfield, CT, 06824-5669

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
September 2014
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

David is a member of the Financial Planning board for Congregation Shir Shalom, assisting with investment decisions, and a Board Director for The Hills at Rivington Townhome Community, managing the budget. These activities require minimal time.

Employment History
Current Registrations
Janney Montgomery Scott LLCBroker
April 2017 - Present · 9 yrs 6 mos
Janney Montgomery Scott LLC
April 2017 - Present · 9 yrs 6 mos
Previous Registrations
Wells Fargo Clearing Services, LLC
November 2004 - May 2017 · 12 yrs 6 mos
Wells Fargo Clearing Services, LLCBroker
November 2004 - May 2017 · 12 yrs 6 mos
Morgan Stanley
February 2002 - November 2004 · 2 yrs 9 mos
Morgan Stanley Dw INC.Broker
September 2000 - November 2004 · 4 yrs 2 mos
Wilkinson Boyd Capital Markets, INCBroker
August 1990 - September 2000 · 10 yrs 1 mo
Fairfield Research CorporationBroker
July 1987 - July 1988 · 1 yr
Thomson Mckinnon Securities INC.Broker
June 1981 - May 1987 · 5 yrs 11 mos
State Registrations17 states
AZCACTDEFLGAILMONCNJNMNYORPASCTNWI
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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