Richard L Moss

Current Employers

Employment History

• 12/2011 → Present
  Lpl Financial Llc
  Indianapolis, IN
• 09/2020 → Present
  National Wealth Management Group, Llc
  Indianapolis, IN

Previous Registrations

• 2020-09-03 → 2021-12-31
  National Wealth Management Group, Llc
  Indianapolis, IN
  Cincinnati, OH
• 2009-12-22 → 2011-12-19
  Pnc Wealth Management Llc
  Indianapolis, IN
  Indianapolis, IN
  Speedway, IN
  Indianapolis, IN
  Indianapolis, IN
  Indianapolis, IN
  Indianapolis, IN
  Carmel, IN
  Indianapolis, IN
  Indianapolis, IN
  Indianapolis, IN
  Indianapolis, IN
  Carmel, IN
  Indianapolis, IN
• 2008-05-22 → 2009-12-15
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Indianapolis, IN

Other Businesses

(1) 12/12/2011: No Business Name - DBA for LPL Business (entity for LPL business) - Synergy 360 - INV REL - At Reported Business Location(s) (2) 06/27/2016: artistic enterprises - Outside/W-2 Employment - NOT INV REL - Start 07/20/2016 - 4455 McCoy Street Suite 300, Indianapolis, IN 46226 - occasionally I get calls from an agency to audition for print advertising and local commercials - 0 Hr/Mo - Outside/W-2 Employment. (3) 9/29/2020 - NATIONAL WEALTH MANAGEMENT GROUP, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 09/03/2020 - 80 Hours Per Month During Securities Trading - I provide investment advisory services through NATIONAL WEALTH MANAGEMENT GROUP, LLC, an independent investment advisor firm. I started this business activity in 09/2020. I expect to spend approximately 80 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. (4) 4/7/2021 - DAMAR SERVICES INC - Not Investment Related - 6067 DECATUR BLVD INDIANAPOLIS, IN 46241 - Outside/W-2 Employment - Start Date: 3/15/2021 - 40 Hours Per Month/5 Hours During Securities Trading - Facilitate and supervise home visitations and reunification plans when appropriate with at-risk youth and their families in the greater Indianapolis area.

Exams

• S65 Uniform Investment Adviser Law Examination
  2008-05-20
• S63 Uniform Securities Agent State Law Examination
  2001-05-04

Other Names

• Richard Lee Moss
• Richard Moss