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Detailed Report
Andrew Moss
ANDREW BRIAN MOSS
CRD#: 4309376
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 1999 Harrison Street
Suite 2200
Oakland, CA 94612
Registration History
20062008201020122014201620182020202220242026IAMORGAN STANLEY (CRD# 149777)2020 - Present (4 years)BMORGAN STANLEY (CRD# 149777)2019 - Present (5 years)BDASH FINANCIAL TECHNOLOGIES LLC (CRD# 104031)2012 - 2019 (7 years)BISRAEL A. ENGLANDER & CO., LLC (CRD# 33725)2007 - 2013 (5 years)BLEHMAN BROTHERS INC. (CRD# 7506)2005 - 2007 (2 years)BSPECTRA FINANCIAL GROUP LLC (CRD# 125332)2005 - 2005 (<1 year)
License(s)

State Registrations

B
California 8/9/2019
B
New Jersey 2/27/2024
IA
California 5/22/2020
B
New York 6/30/2021
B
Massachusetts 11/11/2019
IA
Texas 12/4/2024
B
Mississippi 1/13/2025
B
Washington 2/4/2025

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MORGAN STANLEY (CRD#:149777)
1999 Harrison Street Suite 2200, Oakland, CA 94612
Registered with this firm since 5/22/2020
B
MORGAN STANLEY (CRD#:149777)
1999 Harrison Street Suite 2200, Oakland, CA 94612
Registered with this firm since 8/9/2019
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 08/09/2012 - 08/01/2019 DASH FINANCIAL TECHNOLOGIES LLC (CRD#:104031) San Anselmo, CA
B
 06/14/2007 - 01/24/2013 ISRAEL A. ENGLANDER & CO., LLC (CRD#:33725) BIRMINGHAM, MI
B
 06/30/2005 - 06/15/2007 LEHMAN BROTHERS INC. (CRD#:7506) SAN FRANCISCO, CA
B
 02/10/2005 - 05/06/2005 SPECTRA FINANCIAL GROUP LLC (CRD#:125332) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.