Sharon K. Mossman

VIRTUS INVESTMENT ADVISERS

KANSAS CITY, MO

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CRD#: 1489496

Professional summary

Sharon Kay Mossman, who also goes by Sharon K Mossman, Sharon Mossman, Sharon Kay Suske, is a registered financial advisor currently at VIRTUS INVESTMENT ADVISERS, LLC located in Kansas City, Missouri and VP DISTRIBUTORS LLC located in Hartford, Connecticut.

Sharon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Sharon has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Sharon K Mossman | Sharon Mossman | Sharon Kay Suske

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.

NAME: SKKSM, LLC; BUSINESS IS NOT INVESTMENT RELATED; 1408 LOOMIS WINFIELD, KS; NATURE: RENTAL HOUSE/PROPERTY; POSITION: HOMEOWNER; START DATE: 1/15/2025; 1HR/MO DEVOTED TO OTHER BUSINESS; 0HR/MO DURING SECURITIES TRADING HOURS; DUTIES: OVERSEE HOUSE MANAGER/CLEANING

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sharon Kay Mossman's 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 19, 2018 - Present

VIRTUS INVESTMENT ADVISERS, LLC

RIA

CRD#: 106982

KANSAS CITY, MO

Current

June 1, 2017 - Present

VP DISTRIBUTORS LLC

Office #1: One Financial Plaza, Hartford, CT 06103

CRD#: 3036

HARTFORD, CT

Past

August 28, 2015 - November 19, 2018

VIRTUS CAPITAL ADVISERS, LLC

RIA

CRD#: 107346

KANSAS CITY, MO

Past

June 17, 2015 - June 1, 2017

FORESIDE ASSOCIATES, LLC

CRD#: 13494

Kansas City, MO

Past

February 16, 2006 - April 28, 2015

BNY MELLON SECURITIES CORPORATION

CRD#: 231

KANSAS CITY, MO

Past

May 28, 2004 - February 8, 2006

DWS DISTRIBUTORS, INC.

CRD#: 37306

CHICAGO, IL

Past

January 1, 1998 - April 27, 2004

BNY MELLON SECURITIES CORPORATION

CRD#: 231

NEW YORK, NY

Past

August 28, 1989 - December 31, 1995

AMERICAN CENTURY INVESTMENT SERVICES INC.

CRD#: 17437

KANSAS CITY, MO

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".

VIRTUS INVESTMENT ADVISERS, LLC

PHOENIX INVESTMENT COUNSEL, INC | VIRTUS INVESTMENT ADVISERS, LLC | VIRTUS INVESTMENT ADVISERS, INC.

CRD#: 106982 / SEC#: 801-5995

RIA

Registered Investment Advisory firm - (9/17/1969 Approved)

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR

Connecticut
(11/19/2018)

Missouri
(6/1/2017)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/24/2015

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/8/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 11/29/2012

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 7/17/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/25/1989

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/7/2000

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

VIRTUS INVESTMENT ADVISERS, LLC

PHOENIX INVESTMENT COUNSEL, INC | VIRTUS INVESTMENT ADVISERS, LLC | VIRTUS INVESTMENT ADVISERS, INC.

CRD#: 106982 / SEC#: 801-5995

RIA

Registered Investment Advisory firm - (9/17/1969 Approved)

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Contact information

Main Address

One Financial Plaza 26th Floor, Hartford, CT 06103

Mailing Address

Phone number

(800) 248-7971

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	105
AUM (Assets Under Management)	$ 53,982,609,839

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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Sharon K. Mossman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sharon Kay Mossman's CRS (Customer Relationship Summary).

Certified licenses

Experience

VP DISTRIBUTORS LLC

VIRTUS CAPITAL ADVISERS, LLC

FORESIDE ASSOCIATES, LLC

BNY MELLON SECURITIES CORPORATION

DWS DISTRIBUTORS, INC.

BNY MELLON SECURITIES CORPORATION

AMERICAN CENTURY INVESTMENT SERVICES INC.

Primary Firm SEC Registration

VIRTUS INVESTMENT ADVISERS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/24/2015

Series 63

Date: 9/8/1989

SIE

Date: 10/1/2018

Series 3

Date: 11/29/2012

Series 7

Date: 7/17/2000

Series 6

Date: 8/25/1989

Series 24

Date: 8/7/2000

FINRA

Current Firm

VIRTUS INVESTMENT ADVISERS, LLC

Contact information

SEC notice filing (6 States and Territories)

Documents

Regulatory assets under management

Red Flags

Company Information

VIRTUS INVESTMENT ADVISERS, LLC

TRUST BUT VERIFY

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