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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)44 years in industry

JOHN MOSSA

Advisor at LPL FINANCIAL LLC

RED BANK, NJ

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Search this name across graphsid dfx:ria:6504a7a0-903d-d4c4-b821-cde34e989a8c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:47 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 0
On other graphs: 0
Observed: Sep 15, 2003 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: Aug 17, 1982earliest registration or exam on IAPD
Years in industry: 44derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 8
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S66|S63
First exam: Aug 17, 1982
First registration: Sep 15, 2003
Dual registered: yes, broker-dealer
IAPD individual key: 732604

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	Aug 24, 2018	n/a	yes	RED BANK, NJ	Current employment
CADARET GRANT & CO INC	Former SEC adviser	Aug 6, 2015	Aug 23, 2018	no	BRIELLE, NJ\|RED BANK, NJ\|Brielle, NJ\|RED BANK, NJ	Previous registration
SANTANDER SECURITIES	Bd affiliated wealth	Aug 13, 2014	Aug 14, 2015	no	MARLBORO, NJ\|TOMS RIVER, NJ\|East Brunswick, NJ\|Freehold, NJ	Previous registration
PNC WEALTH MANAGEMENT	Bd affiliated wealth	Nov 18, 2013	Aug 1, 2014	no	SUMMIT, NJ\|FLORHAM PARK, NJ\|WHIPPANY, NJ\|EAST HANOVER, NJ\|UNION, NJ	Previous registration
CAPITAL ONE FINANCIAL ADVISORS LLC	n/a	Jan 11, 2013	Nov 7, 2013	no	MELVILLE, NY	Previous registration
PNC WEALTH MANAGEMENT	Bd affiliated wealth	May 30, 2007	Jan 8, 2013	no	CEDAR GROVE, NJ\|WEST CALDWELL, NJ\|MONTCLAIR, NJ\|ESSEX, NJ\|BLOOMFIELD, NJ\|GLEN RIDGE, NJ\|WEST CALDWELL, NJ\|BLOOMFIELD, NJ\|CALDWELL, NJ\|GLEN RIDGE, NJ\|BLOOMFIELD, NJ	Previous registration
ADVICE AND PLANNING SERVICES	Bd affiliated wealth	Sep 21, 2006	May 22, 2007	no	NEW YORK, NY	Previous registration
VALIC FINANCIAL ADVISORS, INC.	Bd affiliated wealth	May 24, 2004	Aug 21, 2006	no	MORRISTOWN, NJ\|NEW YORK, NY\|NEW YORK, NY	Previous registration
PARK AVENUE SECURITIES LLC	Bd affiliated wealth	Sep 15, 2003	May 19, 2004	no	NEW YORK, NY	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
CADARET GRANT & CO INC	LPL FINANCIAL LLC	Aug 23, 2018	Aug 24, 2018	1	Firm change	RIA to RIA
SANTANDER SECURITIES	CADARET GRANT & CO INC	Aug 14, 2015	Aug 6, 2015	-8	Firm change	Other
PNC WEALTH MANAGEMENT	SANTANDER SECURITIES	Aug 1, 2014	Aug 13, 2014	12	Firm change	Other
CAPITAL ONE FINANCIAL ADVISORS LLC	PNC WEALTH MANAGEMENT	Nov 7, 2013	Nov 18, 2013	11	Firm change	Other
PNC WEALTH MANAGEMENT	CAPITAL ONE FINANCIAL ADVISORS LLC	Jan 8, 2013	Jan 11, 2013	3	Firm change	Other
ADVICE AND PLANNING SERVICES	PNC WEALTH MANAGEMENT	May 22, 2007	May 30, 2007	8	Firm change	Other
VALIC FINANCIAL ADVISORS, INC.	ADVICE AND PLANNING SERVICES	Aug 21, 2006	Sep 21, 2006	31	Firm change	Other
PARK AVENUE SECURITIES LLC	VALIC FINANCIAL ADVISORS, INC.	May 19, 2004	May 24, 2004	5	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
10641:6413:NJ:2018-08-23	Aug 23, 2018	Aug 24, 2018	RED BANK, NJ	Firm change

Relationships

Registered with (8)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Aug 24, 2018 to presentfactForm ADV
→ CADARET GRANT & CO INCRegistered adviserregistration: previous registration
Aug 6, 2015 to Aug 23, 2018factForm ADV
→ SANTANDER SECURITIESRegistered adviserregistration: previous registration
Aug 13, 2014 to Aug 14, 2015factForm ADV
→ PNC WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Nov 18, 2013 to Aug 1, 2014factForm ADV
→ CAPITAL ONE FINANCIAL ADVISORS LLCRegistered adviserregistration: previous registration
Jan 11, 2013 to Nov 7, 2013factForm ADV
→ ADVICE AND PLANNING SERVICESRegistered adviserregistration: previous registration
Sep 21, 2006 to May 22, 2007factForm ADV
→ VALIC FINANCIAL ADVISORS, INC.Registered adviserregistration: previous registration
May 24, 2004 to Aug 21, 2006factForm ADV
→ PARK AVENUE SECURITIES LLCRegistered adviserregistration: previous registration
Sep 15, 2003 to May 19, 2004factForm ADV

Dated events

No dated event names this entity yet.