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RIA / WealthAdvisordual registered (broker-dealer)34 years in industry

ROGER AUSTIN MOSS

Advisor at LPL FINANCIAL LLC

MONTVILLE, NJ | MOUNT OLIVE, NJ

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Search this name across graphsid dfx:ria:2bca266f-f536-9298-e8d4-fee83ea3ff71

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:11 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Nov 21, 2002 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: LPL FINANCIAL LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 16, 1991earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Oct 16, 1991
First registration: Nov 21, 2002
Dual registered: yes, broker-dealer
IAPD individual key: 2180612

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
LPL FINANCIAL LLC	Bd affiliated wealth	Mar 6, 2025	n/a	yes	MOUNT OLIVE, NJ\|MONTVILLE, NJ	Current employment
IC ADVISORY SERVICES, INC.	Former SEC adviser	Jun 21, 2016	Mar 6, 2025	no	MONTVILLE, NJ\|BEDMINSTER, NJ\|MOUNT OLIVE, NJ	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Jan 5, 2009	Jun 17, 2016	no	SADDLE BROOK, NJ\|Red Bank, NJ	Previous registration
BANC OF AMERICA INVESTMENT SERVICES, INC.	n/a	Oct 20, 2004	Nov 26, 2008	no	BOONTON, NJ\|GLEN ROCK, NJ\|BOOTON, NJ	Previous registration
QUICK & REILLY, INC.	n/a	Nov 21, 2002	Oct 20, 2004	no	BOONTON, NJ	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
IC ADVISORY SERVICES, INC.	LPL FINANCIAL LLC	Mar 6, 2025	Mar 6, 2025	0	Bulk transfer	Ibd to ibd
AMERIPRISE FINANCIAL SERVICES, LLC	IC ADVISORY SERVICES, INC.	Jun 17, 2016	Jun 21, 2016	4	Firm change	Other
BANC OF AMERICA INVESTMENT SERVICES, INC.	AMERIPRISE FINANCIAL SERVICES, LLC	Nov 26, 2008	Jan 5, 2009	40	Firm change	Other
QUICK & REILLY, INC.	BANC OF AMERICA INVESTMENT SERVICES, INC.	Oct 20, 2004	Oct 20, 2004	0	Bulk transfer	Other

Relationships

Registered with (5)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Mar 6, 2025 to presentfactForm ADV
→ IC ADVISORY SERVICES, INC.Registered adviserregistration: previous registration
Jun 21, 2016 to Mar 6, 2025factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Jan 5, 2009 to Jun 17, 2016factForm ADV
→ BANC OF AMERICA INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Oct 20, 2004 to Nov 26, 2008factForm ADV
→ QUICK & REILLY, INC.Registered adviserregistration: previous registration
Nov 21, 2002 to Oct 20, 2004factForm ADV

Dated events

No dated event names this entity yet.