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Thomas C Moss

Wms Advisors, LLC

Charlotte, NC

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Current Employers
Wms Advisors, Llc

6135 Park South Drive Suite 510, Charlotte, NC 28210 • United States

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2026-07-13
  • NC RA
    APPROVED
    Since 2026-07-13

Branch Locations

6135 Park South Drive Suite 510, Charlotte, NC 28210 • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. Charlotte NC 12/2010 03/2020
Ameriprise Financial Services, Llc Charlotte NC 03/2020 07/2026
Wms Advisors, Llc Charlotte NC 07/2026 Present
Previous Registrations
  • 2010-12-03 → 2026-08-04
    Ameriprise Financial Services, Llc
    Charlotte, NC
    Columbia, SC
    Charlotte, NC
    Charlotte, NC
    Charlotte, NC
    Charlotte, NC
  • 2006-07-13 → 2010-12-14
    Stephens
    Columbia, SC
  • 2006-02-21 → 2006-07-18
    Citigroup Global Markets Inc.
    Columbia, SC
    New York, NY
    Columbia, SC
  • 2000-12-20 → 2006-02-21
    Legg Mason Wood Walker, Incorporated
    Columbia, SC
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-07-06
S63 Uniform Securities Agent State Law Examination 1983-08-15
  • S65 Uniform Investment Adviser Law Examination
    1992-07-06
  • S63 Uniform Securities Agent State Law Examination
    1983-08-15
Other Names
  • Tom Moss
  • Thomas Connor Moss

View on SEC IAPD

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