Lynne Mosier
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.
Lynne Mosier, who also goes by Lynne Denise Gravel, Lynne Denise Gravelle, Lynne Gravelle - Mosier, Lynne Gravelle-mosier, Lynne Denise Mosier, was a registered financial professional .
Lynne is a previously registered financial professional and started their career in finance in 1984. Lynne had worked at 16 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 22 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 15, 2020 - May 21, 2024
FOCUS PARTNERS ADVISOR SOLUTIONS, LLC
March 4, 2020 - January 17, 2024
FORESIDE FINANCIAL SERVICES, LLC
April 10, 2018 - January 22, 2019
BLACKROCK INVESTMENT MANAGEMENT, LLC
April 10, 2018 - January 22, 2019
BLACKROCK INVESTMENTS, LLC
April 12, 2016 - November 16, 2016
HARRISDIRECT LLC
April 11, 2016 - November 16, 2016
E*TRADE SECURITIES LLC
March 4, 2014 - September 30, 2015
GUGGENHEIM INVESTMENTS
March 3, 2014 - September 30, 2015
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
February 2, 2011 - March 3, 2014
GUGGENHEIM DISTRIBUTORS, LLC
August 28, 1995 - January 13, 2000
SCHRODER FUND ADVISORS LLC
September 13, 1994 - July 13, 1995
SCHRODER & CO. INC.
January 26, 1994 - May 11, 1994
CITIGROUP GLOBAL MARKETS INC.
June 25, 1993 - July 6, 1993
ROBERTSON, STEPHENS & COMPANY LLC
April 8, 1992 - May 21, 1993
PRUDENTIAL EQUITY GROUP, LLC
October 6, 1989 - May 9, 1990
INTERNATIONAL ASSETS ADVISORY, LLC
December 1, 1986 - April 20, 1989
INTERNATIONAL ASSETS ADVISORY, LLC
June 15, 1984 - November 8, 1985
DENALI SECURITIES INC.
Primary Firm SEC Registration
FOCUS PARTNERS ADVISOR SOLUTIONS, LLC
CRD#: 143319 / SEC#: 801-67641
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
FOCUS PARTNERS ADVISOR SOLUTIONS, LLC
CRD#: 143319 / SEC#: 801-67641
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 78,053 |
| AUM (Assets Under Management) | $ 32,238,330,999 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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