Roland Walter Moll
Investment Adviser Representative at Osaic Wealth, Inc.
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Roland Walter Moll is an investment adviser representative with Osaic Wealth, Inc. in Beaver Dam, WI, where they have been registered since 2024. They have worked in the securities industry since 1984 and have been registered with 4 firms, including Securities America Advisors, Inc. and Cetera Advisor Networks LLC. They have passed 4 industry qualification exams, including the Series 65 (investment adviser), Series 63 (state securities agent), and Series 6 (investment company and variable products). They are registered to provide investment advice in Wisconsin.
Registrations & licenses
- Investment adviser:
- Wisconsin
- Broker:
7 states and territories
Arizona, Florida, Minnesota, North Carolina, Oregon, South Carolina, Wisconsin
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Richards Benefits & Financial ServicesJan 1982 – no end date reportedBeaver Dam, WI
- Cetera Advisor Networks LLCJan 2013 – Nov 2016El Segundo, CA
- Securities America, Inc.Nov 2016 – Jun 2024Beaver Dam, WI
- Securities America AdvisorsNov 2016 – Jun 2024Beaver Dam, WI
- Osaic Wealth, Inc.Jun 2024 – no end date reportedBeaver Dam, WI
- Osaic Wealth, Inc.Jun 2024 – no end date reportedBeaver Dam, WI
Official records & sources
Data as of August 9, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Osaic Wealth, Inc.
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Hourly
- Fixed fee
- Firm account minimum
- $5,500 (waivable)
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$25B+
- Firm disclosures (Form ADV)
- Disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 8,271
- Offices listed on AdvisorFinder:
- 26
- Main office:
- Scottsdale, AZ
- SEC file number:
- 801-54859
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of September 29, 2026
View full firm profileOther advisors at Osaic Wealth, Inc.
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Roland Walter Moll 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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