Claude S. Mosley
Professional summary
Claude Steven Mosley was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Claude is a previously registered financial professional and started their career in finance in 1984. Prior to being barred, Claude had worked at 16 firms, which includes AMERITRUST ADVISORS OF SC LLC, AMERITRUST INVESTMENT ADVISORS LLC, CAPITAL INVESTMENT GROUP INC., AVENTURA CAPITAL MANAGEMENT LLC, AVENTURA SECURITIES LLC, VOYA FINANCIAL ADVISORS INC., SECURITIES AMERICA ADVISORS INC., SECURITIES AMERICA INC., AMERITAS INVESTMENT COMPANY LLC, TRANSAMERICA FINANCIAL ADVISORS LLC, CONSECO SECURITIES INC., CONSECO FINANCIAL SERVICES INC., WALNUT STREET SECURITIES INC., NORTH AMERICAN MANAGEMENT INC., SOUTHMARK FINANCIAL SERVICES INC., LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 25, 2013 - December 31, 2017
AMERITRUST ADVISORS OF SC, LLC
June 30, 2009 - July 24, 2013
AMERITRUST INVESTMENT ADVISORS, LLC
May 1, 2009 - August 13, 2009
CAPITAL INVESTMENT GROUP, INC.
January 13, 2009 - March 11, 2009
AVENTURA CAPITAL MANAGEMENT, LLC
January 12, 2009 - March 11, 2009
AVENTURA SECURITIES, LLC
August 11, 2006 - December 31, 2008
VOYA FINANCIAL ADVISORS, INC.
August 1, 2006 - December 31, 2008
VOYA FINANCIAL ADVISORS, INC.
December 17, 2003 - August 4, 2006
SECURITIES AMERICA ADVISORS, INC.
December 9, 2003 - August 4, 2006
SECURITIES AMERICA, INC.
December 31, 2001 - November 3, 2003
AMERITAS INVESTMENT COMPANY, LLC
October 2, 2001 - November 3, 2003
AMERITAS INVESTMENT COMPANY, LLC
February 4, 2000 - October 2, 2001
TRANSAMERICA FINANCIAL ADVISORS, LLC
August 5, 1998 - December 31, 1999
CONSECO SECURITIES, INC.
March 23, 1998 - August 5, 1998
CONSECO FINANCIAL SERVICES, INC.
June 1, 1996 - May 9, 1997
WALNUT STREET SECURITIES, INC.
May 6, 1993 - June 1, 1996
NORTH AMERICAN MANAGEMENT, INC.
June 14, 1990 - December 31, 1991
NORTH AMERICAN MANAGEMENT, INC.
May 26, 1987 - June 21, 1989
SOUTHMARK FINANCIAL SERVICES, INC.
September 1, 1984 - June 2, 1987
VOYA FINANCIAL ADVISORS, INC.
July 16, 1984 - August 7, 1984
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION
State Registrations and Notice Filings
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Exams
Current Firm
AMERITRUST ADVISORS OF SC, LLC
CRD#: 166618 / SEC#:
Contact information
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