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Stuart Connelly Moss

Charles Schwab & CO., Inc.

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About Stuart Connelly Moss

Stuart Connelly Moss is a financial advisor based in Phoenix, Arizona. Stuart is a registered representative of Charles Schwab & CO., Inc. and has been in the industry since December 14, 2003. Stuart has held several licenses including Series 6, 7, 9, 10, 63 and SIE. In addition to his Series 63 license, Stuart is also registered in Arizona. Prior to joining Charles Schwab & CO., Inc. Stuart was employed at SIMMERS CAPITAL MANAGEMENT CORPORATION.

Firm Information

Stuart Moss is currently registered with Charles Schwab & CO., Inc.. Charles Schwab & CO., Inc. is a Corporation formed in April 1971, headquartered in San Francisco, California. The firm offers a range of advisory services including financial planning, selection of other advisors, and wrap fee programs. They have a broad client base including individuals, corporations, and other institutions. The firm manages over $50 billion in assets and operates in all 50 states and territories.
Charles Schwab & CO., Inc.

211 MAIN STREET

SAN FRANCISCO, CA 94105

Not reported

Assets Under Management

919,128

Total Clients

10,627

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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wrap fee program sponsor and financial planning advisor referral program

Wrap fee program sponsor and financial planning advisor referral program

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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other

Asset based fees for wrap pgrms & subsc pricing for fin planning

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Stuart Moss’s Registration & Firm History

AZ

02/25/2004 - Present

Charles Schwab & CO., Inc. (Phoenix AZ)

NA

08/04/1993 - 10/14/1993

SIMMERS CAPITAL MANAGEMENT CORPORATION

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Licenses & Designations

BC

Issued 03/19/2004

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 04/02/2011

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 03/27/2010

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/25/2004

Series 7 - General Securities Representative Examination

BC

Issued 08/03/1993

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are 2 public disclosures for Stuart Connelly Moss. Review regulatory record here.
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