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Bobby Lewis Moss

LPl Financial LLC

Rocky Mount, NC

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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2021-03-31
NC RA APPROVED 2010-12-14
  • TX RA
    APPROVED_RES
    Since 2021-03-31
  • NC RA
    APPROVED
    Since 2010-12-14

Branch Locations

3048 Zebulon Rd, Rocky Mount, NC 27804 • 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
Lpl Financial Llc Rocky Mount NC 12/2010 Present
First South Bank (Nc) Rocky Mount NC 02/2011 02/2020
Crescom Bank Rocky Mount NC 06/2019 08/2020
  • 12/2010 → Present
    Lpl Financial Llc
    Rocky Mount, NC
  • 02/2011 → 02/2020
    First South Bank (Nc)
    Rocky Mount, NC
  • 06/2019 → 08/2020
    Crescom Bank
    Rocky Mount, NC
Previous Registrations
Other Businesses

1. 7/19/2011 - MOSS, MOSS & FODOR INVESTMENT GROUP - Investment Related - At Reported Business Location(s) - Financial Institution Duty.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2009-06-09
S63 Uniform Securities Agent State Law Examination 1993-11-19
  • S65 Uniform Investment Adviser Law Examination
    2009-06-09
  • S63 Uniform Securities Agent State Law Examination
    1993-11-19
Other Names
  • Bobby Lewis Jr Moss

View on SEC IAPD

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Other Offices

EDWARD JONES · Rocky Mount, NC
PROSPERITY CAPITAL ADVISORS · Rocky Mount, NC
EDWARD JONES · ROCKY MOUNT, NC
EDWARD JONES · ROCKY MOUNT, NC
AMERIPRISE FINANCIAL SERVICES, LLC · Rocky Mount, NC
STATE FARM INVESTMENT MANAGEMENT CORP. · Rocky Mount, NC
EMERALD ASSET MANAGEMENT, INC. · ROCKY MOUNT, NC
WHITENER CAPITAL MANAGEMENT, INC · ROCKY MOUNT, NC

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