Kerry M. Moy

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

• 08/2012 → 05/2019
  Morgan Stanley
  Los Angeles, CA
• 05/2019 → 06/2025
  Western International Securities, Inc.
  Pasadena, CA
• 06/2025 → Present
  Lpl Financial Llc
  Pasadena, CA

Previous Registrations

• 2019-06-03 → 2025-06-05
  Western International Securities, Inc.
  Pasadena, CA
  Pasadena, CA
• 2012-08-17 → 2019-06-10
  Morgan Stanley
  Los Angeles, CA
• 1993-03-23 → 2012-08-21
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Beverly Hills, CA
  Beverly Hills, CA

Other Businesses

1. 06/05/2025- K Moy, LLC- Business Entity For Tax/Investment Purposes Only- INV Related- At Reported Business Location(s)- Start date 10/05/2009 2. 06/05/2025-M2K- Business Entity For Tax/Investment Purposes Only- INV Related- At Reported Business Location(s)- Start date 06/05/2017 3. 06/05/2025- Moy Wealth Advisors- DBA for LPL Business (entity for LPL business)- INV Related- At Reported Business Location(s)- Start date 03/04/2019- 160 Hours Per Month- 5 Hours During Trading

Exams

• S65 Uniform Investment Adviser Law Examination
  1994-10-25
• S63 Uniform Securities Agent State Law Examination
  1985-04-30

Other Names

• Kerry Moy