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Thomas Moss

Wms Advisors, LLC
48 Years of Experience
Charlotte, NC
6 Disclosures
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Thomas Moss is a registered investment advisor at Wms Advisors, LLC, based in Charlotte, NC, with 48 years of industry experience. Thomas operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, High Net Worth, and 4 more. Their firm serves 131 clients with $280M in assets under management.

Wms Advisors, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
6 advisors
Number of Clients
131 clients
Average Client Portfolio
$2.1M average
Assets Under Management
$280.9M

Fee Structure

Minimum Investment:$250K
Planning is included in investment management
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $500K1.25%
$500K - $1.0M1.00%
$1.0M - $2.0M0.90%
$2.0M - $5.0M0.80%
$5.0M - $10.0M0.70%
$10M+0.70%

Rates shown are for discretionary management. Non-discretionary management has a separate schedule ranging from 1.75% down to 0.80%. Fees for accounts over $10M are negotiable.

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

Location

6135 Park South Drive, Suite 510, Charlotte, NC, 28210

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History

Regulatory History (6)
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
January 1998
Closed-No Action
Customer Dispute
August 1997
Settled
Customer Dispute
May 1996
Settled
Customer Dispute
August 1995
Settled
Employment Separation After Allegations
May 1995
Customer Dispute
January 1988
Settled
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Wms Advisors, LLC
July 2026 - Present · 3 mos
Previous Registrations
Ameriprise Financial Services, LLC
December 2010 - August 2026 · 15 yrs 8 mos
Ameriprise Financial Services, LLCBroker
December 2010 - August 2026 · 15 yrs 8 mos
Ameriprise Financial Services, INC.
December 2010 - December 2010 · 0 mos
StephensBroker
July 2006 - December 2010 · 4 yrs 5 mos
Stephens
July 2006 - December 2010 · 4 yrs 5 mos
Citigroup Global Markets INC.Broker
February 2006 - July 2006 · 5 mos
Citigroup Global Markets INC.
February 2006 - July 2006 · 5 mos
Legg Mason Wood Walker INC
December 2000 - February 2006 · 5 yrs 2 mos
Legg Mason Wood Walker, IncorporatedBroker
November 2000 - February 2006 · 5 yrs 3 mos
Prudential Securities IncorporatedBroker
July 1995 - November 2000 · 5 yrs 4 mos
The Robinson-Humphrey Company INC.Broker
October 1977 - June 1995 · 17 yrs 8 mos
State Registrations1 state
NC
Advisor

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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