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NICHOLAS EDWIN MOSS
CRD#: 5133409
IA
B
COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLCCRD#: 108257 Brookfield, WI
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.CRD#: 840 Brookfield, WI
0
Disclosures
16
Years of Experience
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State Registrations
B
Michigan 2/20/2015
B
Wisconsin 1/4/2018
IA
Michigan 1/30/2017
IA
Wisconsin 1/4/2018
SRO Registrations
B
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B
Registered with this firm since 5/1/2010
IA
Registered with this firm since 5/1/2010
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 12/15/2009 - 05/01/2010 | BOSTON, MA | |
B | 11/23/2009 - 05/01/2010 | BOSTON, MA | |
B | 07/27/2006 - 03/31/2008 | CHARLESTOWN, MA |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.