Dante Moss is the Subject of a Regulatory Action

Dante Moss (CRD #: 7010652), a broker registered with Ameriprise Financial Services, is the subject of an investor dispute. This is according to his BrokerCheck record, accessed on August 26, 2024. Keep reading if you have questions regarding his alleged conduct. 

Regulatory Actions 

On July 5, 2024, Dante Moss entered into an Acceptance, Waiver, and Consent agreement (AWC), in which he consented to the findings that he improperly retained non-public customer information from Northwestern Mutual without the firm’s or the customer’s consent. 

As part of the terms of the AWC, Dante Moss consented to a $5,000 fine and a 10-business-day suspension. 

High Standards of Commercial Honor

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Improperly retaining customer information may violate this rule. 

Background Information 

Dante Moss has passed the following exams: 

• Series 65 Uniform Investment Adviser Law Examination 
• Series 63 Uniform Securities Agent State Law Examination 
• Series 7TO General Securities Representative Examination 
• SIE – Securities Industry Essentials Examination 
• Series 6TO Investment Company Products / Variable Contracts Representative Examination 

He is a registered investment adviser and broker in Florida. He is a registered broker in five states. 

Dante Moss is a registered broker with Ameriprise Financial Services (CRD #: 6363) and has registered previously with Northwestern Mutual Investment Services (CRD #: 2881). 

Kurta Law Can Help 

If you worked with Dante Moss and you have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Do not let securities fraud go unchecked. Start your recovery process today.