Anthony Moas

CRD 5963338 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Tallahassee, FL

IA RegisteredBroker

Also appears in the source record as: Anthony Humberto Moas

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): SIESeries 7Series 10Series 9Series 66
Registered states (21): Arizona · Arkansas · California · District Of Columbia · Florida · Georgia · Illinois · Iowa · Kentucky · Massachusetts · Michigan · New Jersey · New York · North Carolina · Oregon · Pennsylvania · South Carolina · Tennessee · Texas · Virginia · Washington
Years in the industry (source record): 12
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 5963338 contains one or more disclosure events as of Aug 20, 2026.

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Current firm

From the firm record

Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Firm CRD: 7691
SEC number: 801-14235
Assets under management: $1.8T as of Jun 29, 2026
Website: www.merrilledge.com/GUIDED-INVESTING ↗
Phone: 800-637-7455
Firm location: New York, NY, 10036

Employment history (7)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Tallahassee, FL · IA capacity

start not retrieved → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Tallahassee, FL · BC capacity

start not retrieved → present
Lpl Financial LLC
Tallahassee, FL · IA capacity

May 14, 2019 → Jan 13, 2020
Lpl Financial LLC
Tallahassee, FL · BC capacity

May 3, 2019 → Jan 13, 2020
Fidelity Personal And Workplace Advisors
Boston, MA · IA capacity

Jul 13, 2018 → May 1, 2019
Fidelity Brokerage Services LLC
Jacksonville, FL · BC capacity

May 3, 2016 → Apr 30, 2019
Strategic Advisers LLC
Jacksonville, FL · IA capacity

May 12, 2016 → Jul 13, 2018

Source & corrections

Where this page comes from

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