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RIA / WealthAdvisordual registered (broker-dealer)13 years in industry

Anthony Moas

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

TALLAHASSEE, FL

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Search this name across graphsid dfx:ria:6357e1db-84be-ad8c-3c87-3ec29c564f73

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:42 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jul 12, 2013 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: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 11, 2013earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Jul 11, 2013
First registration: Jul 12, 2013
Dual registered: yes, broker-dealer
Other names: ANTHONY HUMBERTO MOAS
IAPD individual key: 5963338

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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Feb 24, 2020	n/a	yes	TALLAHASSEE, FL	Current employment
LPL FINANCIAL LLC	Bd affiliated wealth	May 14, 2019	Jan 13, 2020	no	TALLAHASSEE, FL\|TALLAHASSEE, FL\|TALLAHASSEE, FL	Previous registration
FIDELITY PERSONAL AND WORKPLACE ADVISORS	Former SEC adviser	Jul 13, 2018	May 1, 2019	no	BOSTON, MA	Previous registration
STRATEGIC ADVISERS LLC	National bd RIA	May 12, 2016	Jul 13, 2018	no	JACKSONVILLE, FL	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jul 12, 2013	Apr 13, 2016	no	JACKSONVILLE, FL	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
LPL FINANCIAL LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Jan 13, 2020	Feb 24, 2020	42	Firm change	Ibd to wirehouse
FIDELITY PERSONAL AND WORKPLACE ADVISORS	LPL FINANCIAL LLC	May 1, 2019	May 14, 2019	13	Firm change	Ibd to RIA
STRATEGIC ADVISERS LLC	FIDELITY PERSONAL AND WORKPLACE ADVISORS	Jul 13, 2018	Jul 13, 2018	0	Bulk transfer	Ibd to new firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	STRATEGIC ADVISERS LLC	Apr 13, 2016	May 12, 2016	29	Firm change	Wirehouse to ibd

Relationships

Registered with (4)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jul 12, 2013 to Apr 13, 2016factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
May 14, 2019 to Jan 13, 2020factForm ADV
→ FIDELITY PERSONAL AND WORKPLACE ADVISORSRegistered adviserregistration: previous registration
Jul 13, 2018 to May 1, 2019factForm ADV
→ STRATEGIC ADVISERS LLCRegistered adviserregistration: previous registration
May 12, 2016 to Jul 13, 2018factForm ADV

Dated events

No dated event names this entity yet.