Steven Moffat

$1.37T regulatory AUM 17,518 advisory clients

Reported services (Item 5G)

From the firm’s Form ADV. Read the guides:

155 Seaport Blvd, Boston, MA 02210-2698 • United States

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2025-03-31
TX	RA	APPROVED_RES	2025-03-31

Branch Locations

3000 Bayport Dr Ste 800, Tampa, FL 33607-8402 • United States

No disclosure categories reported as “Yes” on this SEC record.

Organization	City	State	From	To
Kevin Kaveney	Colorado Spgs	CO	01/2016	11/2016
Northwestern Mutual Investment Services Llc	Colorado Spgs	CO	02/2016	11/2016
Northwestern Mutual Wealth Management Company	Milwaukee	WI	02/2016	11/2016
Fidelity Brokerage Services Llc	Colorado Springs	CO	11/2016	Present
Fidelity Personal And Workplace Advisors	Boston	MA	07/2018	Present
Fidelity Investments	Boston	MA	03/2025	Present

01/2016 → 11/2016

Kevin Kaveney

Colorado Spgs, CO
02/2016 → 11/2016

Northwestern Mutual Investment Services Llc

Colorado Spgs, CO
02/2016 → 11/2016

Northwestern Mutual Wealth Management Company

Milwaukee, WI
11/2016 → Present

Fidelity Brokerage Services Llc

Colorado Springs, CO
07/2018 → Present

Fidelity Personal And Workplace Advisors

Boston, MA
03/2025 → Present

Fidelity Investments

Boston, MA

2018-07-13 → 2025-03-31

Fidelity Personal And Workplace Advisors

Tampa, FL
2017-01-09 → 2018-07-13

Strategic Advisers Llc

Colorado Springs, CO
2016-02-18 → 2016-11-22

Northwestern Mutual Investment Services, Llc

Colorado Spgs, CO
2013-11-22 → 2015-12-16

Usaa Financial Planning Services

Colorado Springs, CO
2013-02-14 → 2013-11-04

T. Rowe Price Advisory Services, Inc.

Colorado Springs, CO

Code	Exam	Date
S66	Uniform Combined State Law Examination	2013-02-12