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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

William Moss

Advisor at J.P. MORGAN SECURITIES LLC

Atlanta, GA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:23 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Mar 25, 2008 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: J.P. MORGAN SECURITIES LLC
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: Nov 14, 2000earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S63|S66
First exam: Nov 14, 2000
First registration: Mar 25, 2008
Dual registered: yes, broker-dealer
Other names: BILL MOSS|WILLIAM CAULFIELD|WILLIAM MOOS|JOSEPH M WILLIAM|WILLIAM JOSEPH MOSS
IAPD individual key: 4280763

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
J.P. MORGAN SECURITIES LLC	Wirehouse	Feb 9, 2023	n/a	yes	Atlanta, GA	Current employment
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Mar 9, 2018	Jan 17, 2023	no	ATLANTA, GA	Previous registration
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Jan 10, 2017	Dec 21, 2017	no	ATLANTA, GA	Previous registration
PNC WEALTH MANAGEMENT	Bd affiliated wealth	Jan 4, 2012	Nov 2, 2016	no	ALPHARETTA, GA\|ATLANTA, GA\|ATLANTA, GA\|DULUTH, GA	Previous registration
SUNTRUST INVESTMENT SERVICES, INC.	Former SEC adviser	Mar 25, 2008	Mar 28, 2012	no	ATLANTA, GA\|ATLANTA, GA	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
CETERA INVESTMENT ADVISERS LLC	J.P. MORGAN SECURITIES LLC	Jan 17, 2023	Feb 9, 2023	23	Firm change	Ibd to wirehouse
PNC WEALTH MANAGEMENT	CETERA INVESTMENT ADVISERS LLC	Nov 2, 2016	Jan 10, 2017	69	Firm change	Other
SUNTRUST INVESTMENT SERVICES, INC.	PNC WEALTH MANAGEMENT	Mar 28, 2012	Jan 4, 2012	-84	Firm change after gap	Other

Relationships

Registered with (4)

→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: current employment
Feb 9, 2023 to presentfactForm ADV
→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: previous registration
Mar 9, 2018 to Jan 17, 2023factForm ADV
→ PNC WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Jan 4, 2012 to Nov 2, 2016factForm ADV
→ SUNTRUST INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Mar 25, 2008 to Mar 28, 2012factForm ADV

Dated events

Occurred
Jan 17, 2023
Advisor changed firm
William Moss left Cetera Investment Advisers Llc for J.P. Morgan Securities Llc (registered 2023-02-09)
Form ADVobserved 5 days ago