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Michael Dominick Moses

Investment Adviser Representative at BRADLEY FOSTER & SARGENT INC

Westerly, RICRD #2190810Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
30 yrs
States Registered
3 states
Exams Passed
8

Registrations & licenses

Registration type
Dual-registered
Registered in 3 states
ConnecticutMassachusettsRhode Island
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 1/28/2020
Series 63
Uniform Securities Agent State Law Examination
Passed 2/11/1992
SIE
Securities Industry Essentials Examination
Passed 7/31/2017
Series 3
National Commodity Futures Examination
Passed 1/19/2007
Series 87
Research Analyst Exam - Part II Regulations Module
Passed 5/17/2005
Series 55
Limited Representative-Equity Trader Exam
Passed 4/5/2000
Series 7
General Securities Representative Examination
Passed 12/2/1991
Series 4
Registered Options Principal Examination
Passed 8/25/2006

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Asset tierAnnual rate
First $2 million1.00%
Next $3 million0.75%
Remainder0.50%
Source

Bradley Foster & Sargent Inc Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

BRADLEY FOSTER & SARGENT INCCurrent
5/20/2025Westerly, RI
NAPATREE CAPITAL LLC
1/28/20205/13/2025Westerly, RI

Official records & sources

Data as of August 9, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Michael Dominick Moses has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

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