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Roland Moll

Advisor at OSAIC

Updated today

Location

Beaver Dam, WI 53916

Credentials

Series 63, Series 65

Industry experience

42 years

About

Roland Moll is a financial advisor with OSAIC, holding Series 63 and Series 65 licenses and bringing 42 years of industry experience. His career includes prior roles at Securities America Advisors and Cetera Advisor Networks, as well as operating Richards Benefits & Financial Services, where he is involved in life insurance sales. OSAIC is a large SEC-registered investment adviser and FINRA member broker-dealer serving a diverse client base, including individual investors, pension plans, corporations, and charitable organizations. The firm employs a comprehensive investment process utilizing risk-tolerance assessments, asset allocation software, and portfolio optimization tools, offering a variety of investment programs and access to multiple custodial platforms.

Client services

Based on OSAIC

Financial planning Portfolio management Pension consulting Selection of other advisers Educational seminars or workshops

Expertise

Based on OSAIC

Annuities

Occupation focus

Based on OSAIC

Founder/Business Owner Executive Retired

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Fee options

Fixed

Fixed or flat fees for financial planning and consulting services generally up to $25,000, can exceed for high net worth individuals; Non-Discretionary Investment Advisory Services fixed fees from $500 to $15,000; Retirement Plan Consulting Services fixed fees from $1,000 to $100,000.

Percentage

$0 - $5,500: Negotiable, varies by Advisory Representative and program $5,500 - $10,000: Negotiable, varies by Advisory Representative and program $10,000+: Negotiable, varies by Advisory Representative and program

Commissions

Advisory Representatives may receive commissions as registered representatives or insurance agents for securities or insurance product sales outside advisory accounts.

Project-based

$0 - $750 per hour for financial planning and consulting services, Non-Discretionary Investment Advisory Services, and Retirement Plan Consulting Services.

Other

Account minimum: $5,500 to $10,000 depending on program Fee-only: Advisory fees negotiated individually by Advisory Representatives; often asset-based fees with wrap or non-wrap structures; fees can be up to 3% annually for Plan Participant Retirement Program; fee schedules vary by program and Advisory Representative.

Location

207 Corporate Drive

Beaver Dam, WI 53916

Most active in

Wisconsin

Work history

OSAIC

2024 - Present (2 years)

OSAIC

2024 - Present (2 years)

Securities America Advisors

2016 - 2024 (8 years)

SECURITIES AMERICA, inc.

2016 - 2024 (8 years)

CETERA Advisor Networks LLC

2013 - 2016 (3 years)

Richards Benefits & Financial Services

1982 - Present (44 years)

Disclosures

Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.

Business activities & affiliations

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Active portfolio management Tax-loss harvesting Options & derivatives strategies
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Beaver Dam, WI

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Passive / index investing Active portfolio management Tax-loss harvesting Wealth management Retirement income strategy Founder/Business Owner Executive Retired
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