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RIA / WealthAdvisordual registered (broker-dealer)39 years in industry

MICHAEL EDWARD MOSS

Advisor at INDEPENDENT FINANCIAL GROUP, LLC

Reno, NV

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Search this name across graphsid dfx:ria:a19feebc-afff-e391-2a43-811303795868

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:06 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Feb 7, 2005 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: INDEPENDENT FINANCIAL GROUP, 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: Apr 24, 1987earliest registration or exam on IAPD
Years in industry: 39derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Apr 24, 1987
First registration: Feb 7, 2005
Dual registered: yes, broker-dealer
Other names: MICK MOSS|MIKE MOSS
IAPD individual key: 1054365

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
INDEPENDENT FINANCIAL GROUP, LLC	Bd affiliated wealth	Jan 31, 2021	n/a	yes	Reno, NV	Current employment
FIRST ALLIED ADVISORY SERVICES, INC.	Former SEC adviser	Jul 2, 2012	Jan 5, 2015	no	RENO, NV	Previous registration
FIRST ALLIED SECURITIES, INC.	Former SEC adviser	Jan 20, 2011	Jul 2, 2012	no	SAN DIEGO, CA\|RENO, NV	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Apr 7, 2005	Jan 20, 2011	no	RENO, NV\|RENO, NV	Previous registration
WELLS FARGO INVESTMENTS, LLC	n/a	Feb 7, 2005	Apr 14, 2005	no	CARSON CITY, NV	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
FIRST ALLIED ADVISORY SERVICES, INC.	INDEPENDENT FINANCIAL GROUP, LLC	Jan 5, 2015	Jan 31, 2021	2,218	Firm change after gap	Other
FIRST ALLIED SECURITIES, INC.	FIRST ALLIED ADVISORY SERVICES, INC.	Jul 2, 2012	Jul 2, 2012	0	Bulk transfer	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	FIRST ALLIED SECURITIES, INC.	Jan 20, 2011	Jan 20, 2011	0	Firm change	Other
WELLS FARGO INVESTMENTS, LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Apr 14, 2005	Apr 7, 2005	-7	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
137888:7717:NV:2015-01-05	Jan 5, 2015	Jan 31, 2021	RENO, NV	Firm change after gap

Relationships

Registered with (5)

→ INDEPENDENT FINANCIAL GROUP, LLCRegistered adviserregistration: current employment
Jan 31, 2021 to presentfactForm ADV
→ FIRST ALLIED ADVISORY SERVICES, INC.Registered adviserregistration: previous registration
Jul 2, 2012 to Jan 5, 2015factForm ADV
→ FIRST ALLIED SECURITIES, INC.Registered adviserregistration: previous registration
Jan 20, 2011 to Jul 2, 2012factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Apr 7, 2005 to Jan 20, 2011factForm ADV
→ WELLS FARGO INVESTMENTS, LLCRegistered adviserregistration: previous registration
Feb 7, 2005 to Apr 14, 2005factForm ADV

Dated events

No dated event names this entity yet.