Unclaimed Profile

Robert Alan Moats

B. C. ZIEGLER AND COMPANY·CHICAGO, Illinois

SIE, Series 3, Series 7, Series 8, Series 63, Series 6529 years registeredB. C. ZIEGLER AND COMPANY

200 SOUTH WACKER DRIVE, CHICAGO, IL 60606CRD# 1556961Firm CRD# 61

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Robert Alan Moats · CHICAGO, IL

Registration

CRD #1556961 · B. C. ZIEGLER AND COMPANY · 29 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: B. C. ZIEGLER AND COMPANY

B. C. ZIEGLER AND COMPANY

Aug 2014 – Mar 2018

CHICAGO, IL

MORGAN STANLEY

Jun 2009 – Jun 2014

CHICAGO, IL

CITIGROUP GLOBAL MARKETS INC.

Mar 1997 – Jun 2009

CHICAGO, IL

Registrations & Exams

FINRA examinations passed

SIE

Series 3

Series 7

Series 8

Series 63

Series 65

Registration record

First registered · March 4, 1997

Years registered · 29

Disclosure History

1998Customer Dispute·Denied

1 disclosure event on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

B. C. ZIEGLER AND COMPANY

CRD 61 · SEC 801-19699

AUM

$660M

Regulatory assets under management

Employees

275

2,764 client accounts

Services offered by B. C. ZIEGLER AND COMPANY

Per Form ADV

Financial planning

Portfolio management (individuals)

Pension consulting

Selection of other advisers

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

Pension & Retirement Plans

High Net Worth Individuals

View all advisors at B. C. ZIEGLER AND COMPANY →

Introduction

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Frequently Asked Questions

What services does Robert Alan Moats offer?

Robert Alan Moats specializes in Financial Planning, Investment Management, Retirement Planning, Wealth Management.

What are Robert Alan Moats's credentials?

Robert Alan Moats is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Robert Alan Moats located?

Robert Alan Moats is based in CHICAGO, Illinois, last registered with B. C. ZIEGLER AND COMPANY.

How does Robert Alan Moats charge for services?

Robert Alan Moats's firm is compensated through percentage of aum, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is B. C. ZIEGLER AND COMPANY?

B. C. ZIEGLER AND COMPANY has approximately 275 employees and manages $660M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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