Tim G. Mosley
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Tim George Mosley, who also goes by Tim Mosley, was a registered financial professional .
Tim is a previously registered financial professional and started their career in finance in 1988. Tim had worked at 11 firms and has passed the Series 6 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 25, 2000 - September 2, 2003
VOYA FINANCIAL ADVISORS, INC.
June 8, 1999 - December 31, 1999
ALLSTATE FINANCIAL SERVICES, LLC
December 8, 1997 - April 28, 1999
SUNSET FINANCIAL SERVICES, INC.
February 4, 1997 - November 25, 1997
MUTUAL SERVICE CORPORATION
February 20, 1996 - September 20, 1996
MUTUAL SERVICE CORPORATION
December 9, 1994 - January 2, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
December 9, 1994 - January 2, 1997
SIGNATOR INVESTORS, INC.
April 22, 1994 - December 13, 1994
TRANSAMERICA FINANCIAL ADVISORS, INC.
April 7, 1993 - December 31, 1993
CYPRESS CAPITAL CORPORATION
January 22, 1992 - August 26, 1992
SOARES FINANCIAL GROUP, INC.
March 23, 1990 - December 31, 1991
OPPENHEIMER & CO. INC.
February 26, 1988 - March 23, 1990
B.C. CHRISTOPHER SECURITIES CO.
Primary Firm SEC Registration
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,854 |
| AUM (Assets Under Management) | $ 2,744,735,129 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 9 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
