Joe Moser has been an investment adviser representative at Five Oceans Advisors since September 2020, and is not listed among the firm’s executive officers or direct owners.
Five Oceans Advisors LLC is a firm with $456M under management, 117 clients and 4 advisers across 4 offices, as of its January 2026 filing.
Joe Moser’s longest registration was 7 years at Dixon Hughes Goodman Wealth Advisors LLC (2013–2020). Before joining Five Oceans Advisors in 2020, Joe Moser was registered through Dixon Hughes Goodman Wealth Advisors LLC and Raymond James Financial Services Advisors, Inc.
- Five Oceans AdvisorsCurrent– present · 6 yearsGermantown, TN · Adviser representative · Firm CRD 308377
- Dixon Hughes Goodman Wealth Advisors LLC– · 7 yearsMemphis, TN · Adviser representative · Firm CRD 109279
- Raymond James Financial Services Advisors, Inc– · 2 yearsMemphis, TN · Adviser representative · Firm CRD 149018
- Advanced Financial Planning, L.P.– · under a yearArlington, TX · Adviser representative · Firm CRD 111949
Investment adviser representative registrations
Joe Moser is registered as an investment adviser representative in Tennessee, since September 2020.
- TennesseeSince 4 September 2020
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 66 | Uniform Combined State Law Examination | 11 October 2009 |
| Series 7 | General Securities Representative Examination | 19 July 2009 |
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Joe Philip Moser
- CRD
- 5618562
- Firm
- Five Oceans Advisors · CRD 308377
- Office
- Germantown, TN
- Registration
- Investment adviser registration
- In the industry since
- December 2009
- Disciplinary history
- Not yet shown here · SEC record
Where does Joe Moser work?
Joe Moser is an investment adviser representative registered through Five Oceans Advisors LLC since September 2020, and is not listed among the firm’s executive officers or direct owners.
Is Joe Moser a financial advisor?
Yes. Joe Moser has a current investment-adviser registration in Tennessee, through Five Oceans Advisors since September 2020.
How many years of experience does Joe Moser have?
Joe Moser has 16 years in the financial industry, since December 2009, across 4 adviser firms.
What exams has Joe Moser passed?
Joe Moser has passed 2 licensing exams: the Series 7 and Series 66. The earliest, the Series 7, was passed in July 2009.
Where did Joe Moser work before Five Oceans Advisors?
Before Five Oceans Advisors, Joe Moser was registered through Dixon Hughes Goodman Wealth Advisors LLC, March 2013 to August 2020; Raymond James Financial Services Advisors, Inc, May 2010 to February 2013; Advanced Financial Planning, L.P., October 2009 to May 2010.
Where is Joe Moser based?
Joe Moser’s registered office is in Germantown, TN.
Is Joe Moser registered with FINRA?
No. Joe Moser has no current broker registration.
How can I verify Joe Moser’s record?
Search CRD 5618562 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Joe Moser’s full registration record.
