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Anthony Michael Moffa

Robert W. Baird & Co. Incorporated

Charlotte, NC

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Current Employers
Robert W. Baird & Co. Incorporated

777 E. Wisconsin Avenue, Milwaukee, WI 53202-5391 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2024-05-30
NC RA APPROVED 2021-11-01
  • TX RA
    APPROVED
    Since 2024-05-30
  • NC RA
    APPROVED
    Since 2021-11-01

Branch Locations

4350 Congress St Suite 400, Charlotte, NC 28209 • United States

Disclosures

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

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Tiaa- Cref Individual & Intitutional Services, Llc Charlotte NC 05/2016 04/2019
Tiaa Charlotte NC 05/2016 04/2019
Linden Thomas & Company Charlotte NC 04/2019 10/2021
Robert W. Baird & Co. Charlotte NC 11/2021 Present
  • 05/2016 → 04/2019
    Tiaa- Cref Individual & Intitutional Services, Llc
    Charlotte, NC
  • 05/2016 → 04/2019
    Tiaa
    Charlotte, NC
  • 04/2019 → 10/2021
    Linden Thomas & Company
    Charlotte, NC
  • 11/2021 → Present
    Robert W. Baird & Co.
    Charlotte, NC
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-11-28
S63 Uniform Securities Agent State Law Examination 2016-09-02
  • S66 Uniform Combined State Law Examination
    2016-11-28
  • S63 Uniform Securities Agent State Law Examination
    2016-09-02
Designations
Other Names
  • Anthony Moffa

View on SEC IAPD

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Other Offices

FIRST TRYON ADVISORS · CHARLOTTE, NC
MUIRFIELD WEALTH ADVISORS LLC · CHARLOTTE, NC
MAI CAPITAL MANAGEMENT, LLC · Charlotte, NC
LPL FINANCIAL LLC · CHARLOTTE, NC
ARKADIOS WEALTH ADVISORS · Charlotte, NC
MODERA WEALTH MANAGEMENT, LLC · CHARLOTTE, NC
TLG ADVISORS, INC. · Charlotte, NC
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