Richard M. Moseley

PRINCETON GLOBAL ASSET MANAGEMENT LLC

Princeton, NJ 08542

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CRD#: 1370519

Professional summary

Richard Michael Moseley is a registered financial advisor currently at PRINCETON GLOBAL ASSET MANAGEMENT LLC located in Princeton, New Jersey.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Richard has worked at 8 firms and has passed the Series 65, Series 66, Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Advisor Engine 60 Hudson Street - 18th Floor New York, NY 10013 Start date 11/15/14 Quarterly board meetings in NYC (4 x 1 day) Weekly conference calls as required...less than 1 hour a week on average.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Michael Moseley's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

November 21, 2019 - Present

PRINCETON GLOBAL ASSET MANAGEMENT LLC

Office #1: 17 Hulfish Street Suite 240, Princeton, NJ 08542

RIA

CRD#: 146644

Princeton, NJ

Past

September 20, 2013 - December 31, 2019

ALPHA RISK MANAGEMENT, LLC

RIA

CRD#: 167884

PRINCETON, NJ

Past

January 21, 2009 - March 12, 2010

BARCLAYS CAPITAL INC.

RIA

CRD#: 19714

NEW YORK, NY

Past

September 22, 2008 - March 12, 2010

BARCLAYS CAPITAL INC.

CRD#: 19714

NEW YORK, NY

Past

February 14, 2008 - October 15, 2008

LEHMAN BROTHERS INC.

RIA

CRD#: 7506

NEW YORK, NY

Past

January 18, 2008 - September 22, 2008

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

October 27, 2004 - February 16, 2005

SVB SECURITIES, A NON-BANK AFFILIATE OF SILICON VALLEY BANK

CRD#: 46902

SAN FRANCISCO, CA

Past

December 6, 1996 - July 1, 2003

MERCER CAPITAL GROUP, INC.

CRD#: 39221

PRINCETON, NJ

Past

June 24, 1994 - May 31, 1995

KLEINWORT BENSON NORTH AMERICA INC.

CRD#: 5087

Past

July 21, 1987 - October 24, 1989

P.B.E. SECURITIES, INCORPORATED

CRD#: 14395

PENNINGTON, NJ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

PRINCETON GLOBAL ASSET MANAGEMENT LLC

CRD#: 146644 / SEC#: 801-71305

RIA

Registered Investment Advisory firm - (4/9/2010 Approved)

Texas

Registered Investment Advisory firm - (4/22/2010 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New Jersey
(11/21/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/19/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 1/2/2008

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/9/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/29/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/2/1995

General Securities Principal Examination

Current Firm

PRINCETON GLOBAL ASSET MANAGEMENT LLC

CRD#: 146644 / SEC#: 801-71305

RIA

Registered Investment Advisory firm - (4/9/2010 Approved)

Texas

Registered Investment Advisory firm - (4/22/2010 Terminated)

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Contact information

Main Address

17 Hulfish Street Suite 240, Princeton, NJ 08542

Mailing Address

Phone number

(609) 945-1781

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PRINCETON GLOBAL ASSET MANAGEMENT, LLC FORM ADV PART 2A: FIRM BROCHURE (5/13/2025)

Regulatory assets under management

Total Number of Accounts	1,164
AUM (Assets Under Management)	$ 782,787,247

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.

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Advisor Monitoring

Firm Stability Insights

Richard M. Moseley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Michael Moseley's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALPHA RISK MANAGEMENT, LLC

BARCLAYS CAPITAL INC.

BARCLAYS CAPITAL INC.

LEHMAN BROTHERS INC.

LEHMAN BROTHERS INC.

SVB SECURITIES, A NON-BANK AFFILIATE OF SILICON VALLEY BANK

MERCER CAPITAL GROUP, INC.

KLEINWORT BENSON NORTH AMERICA INC.

P.B.E. SECURITIES, INCORPORATED

Primary Firm SEC Registration

PRINCETON GLOBAL ASSET MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/19/2013

Series 66

Date: 1/2/2008

Series 63

Date: 12/9/2004

Series 7

Date: 3/29/1994

Series 24

Date: 2/2/1995

Current Firm

PRINCETON GLOBAL ASSET MANAGEMENT LLC

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PRINCETON GLOBAL ASSET MANAGEMENT LLC

TRUST BUT VERIFY

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