TrueAdvisor
TrueAdvisor
CM
CM

Craig Moss

Janney Montgomery Scott LLC
43 Years of Experience
Hauppauge, NY
2 DisclosuresBroker
View SEC Summary
View SEC Summary

Craig Moss is a registered investment advisor at Janney Montgomery Scott LLC, based in Hauppauge, NY, with 43 years of industry experience. Craig 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

100 Motor Parkway, Suite 590, Hauppauge, NY, 11788

Get directions

History

Regulatory History (2)
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
May 2002
Settled
Customer Dispute
October 1993
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Craig serves as an executor/co-executor for an estate since 2020. This investment-related activity takes about 10-20% of his time after business hours.

Employment History
Current Registrations
Janney Montgomery Scott LLCBroker
October 2025 - Present · 1 yr
Janney Montgomery Scott LLC
October 2025 - Present · 1 yr
Previous Registrations
Morgan Stanley
May 2020 - November 2025 · 5 yrs 6 mos
Morgan StanleyBroker
June 2009 - November 2025 · 16 yrs 5 mos
Citigroup Global Markets INC.Broker
May 2008 - June 2009 · 1 yr 1 mo
UBS Financial Services INC.
December 2004 - May 2008 · 3 yrs 5 mos
UBS Financial Services INC.Broker
January 1995 - May 2008 · 13 yrs 4 mos
Kidder, Peabody & CO. IncorporatedBroker
March 1990 - January 1995 · 4 yrs 10 mos
Smith Barney, Harris Upham & CO., IncorporatedBroker
May 1985 - March 1990 · 4 yrs 10 mos
Prudential-Bache Securities INC.Broker
March 1983 - May 1985 · 2 yrs 2 mos
State Registrations22 states
ARAZCACOCTFLGAILMAMDNCNJNMNVNYORPASCTNTXVAWA
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.
More Advisors
More financial advisors in Hauppauge, NY →All financial advisors in New York →