JM
JM
John Moy
48 Years of Experience
Baltimore, MD
6 DisclosuresBrokerSells Insurance
John Moy is a registered investment advisor at Nfsg Corporation, based in Baltimore, MD, with 48 years of industry experience. John operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Financial Planning & Coaching, Investment Management. Their firm serves 3,096 clients with $1.1B in assets under management.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
73 advisors
Number of Clients
3,096 clients
Average Client Portfolio
$350K average
Assets Under Management
$1.1B
Fee Structure
Minimum Investment:$25K
Minimum Annual Fee:$250
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.00% |
Fee is up to 2%.
Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
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Location
Baltimore, MD
Get directionsHistory
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
December 2022Settled
Customer Dispute
September 2019Settled
Employment Separation After Allegations
April 2019Employment Separation After Allegations
March 2018Customer Dispute
May 2017Settled
Customer Dispute
April 1993Award / Judgment
Other Business ActivitiesSells Insurance
John owns rental property in Baltimore, MD since 2023. He also sells insurance and fixed insurance products since 2023.
Employment History
Current Registrations
Nfsg Corporation
September 2019 - Present · 6 yrs 8 mos
Newbridge Securities CorporationBroker
June 2019 - Present · 6 yrs 11 mos
Previous Registrations
International Assets Advisory, LLCBroker
May 2019 - June 2019 · 1 mo
National Asset Management, INC.
April 2018 - April 2019 · 1 yr
National Securities CorporationBroker
March 2018 - April 2019 · 1 yr 1 mo
Morgan StanleyBroker
August 2017 - March 2018 · 7 mos
Morgan Stanley
August 2017 - March 2018 · 7 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
September 2005 - August 2017 · 11 yrs 11 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
September 2005 - August 2017 · 11 yrs 11 mos
Wachovia Securities, LLCBroker
July 2003 - September 2005 · 2 yrs 2 mos
Wachovia Securities, LLC
July 2003 - September 2005 · 2 yrs 2 mos
Prudential Securities Incorporated
June 1998 - July 2003 · 5 yrs 1 mo
Prudential Securities IncorporatedBroker
May 1998 - July 2003 · 5 yrs 2 mos
Dean Witter Reynolds INC.Broker
March 1991 - June 1998 · 7 yrs 3 mos
Lehman Brothers INC.Broker
April 1988 - April 1991 · 3 yrs
E. F. Hutton & Company INCBroker
February 1986 - April 1988 · 2 yrs 2 mos
Laidlaw Adams & Peck INC.Broker
November 1984 - February 1986 · 1 yr 3 mos
Painewebber IncorporatedBroker
May 1984 - October 1984 · 5 mos
Prudential-Bache Securities INC.Broker
November 1981 - May 1984 · 2 yrs 6 mos
Wheat, First Securities, INC.Broker
November 1980 - December 1981 · 1 yr 1 mo
Brokers Exchange, INC.Broker
March 1979 - December 1980 · 1 yr 9 mos
Salkin, Welch & CO., IncorporatedBroker
February 1978 - December 1980 · 2 yrs 10 mos
State Registrations17 states
AZCADCDEFLGALAMDNVNYPASCSDTXVAWIWV
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.