Roger Austin Moss

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

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

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 06/2016 → 03/2025
  The Investment Center Inc
  Montville, NJ
• 06/2016 → Present
  Ic Advisory Services Inc
  Montville, NJ
• 03/2025 → Present
  Lpl Financial Llc
  Montville, NJ

Previous Registrations

• 2016-06-21 → 2025-03-06
  Ic Advisory Services, Inc.
  Montville, NJ
  Bedminster, NJ
  Mount Olive, NJ
• 2009-01-05 → 2016-06-17
  Ameriprise Financial Services, Llc
  Saddle Brook, NJ
  Red Bank, NJ
• 2004-10-20 → 2008-11-26
  Banc Of America Investment Services, Inc.
  Boonton, NJ
  Glen Rock, NJ
  Booton, NJ
• 2002-11-21 → 2004-10-20
  Quick & Reilly, Inc.
  Boonton, NJ

Other Businesses

1. 03/06/2025- Montville Financial Group- DBA for LPL Business (entity for LPL business)- INV Related- At Reported Business Location(s)- Start date 03/07/2025- 200 Hours Per Month-160 Hours During Trading 2. 03/06/2025- Mileto Tax Prep- Tax Prep/Accounting/CPA- INV Related- At Reported Business Location(s)- Start date 12/19/2024- 20 Hours Per Month- 3 Hours During Trading

Exams

• S65 Uniform Investment Adviser Law Examination
  1998-11-03
• S63 Uniform Securities Agent State Law Examination
  1991-10-16