Clyde Brooks Mosley
Professional Summary
Clyde Brooks Mosley is a registered financial advisor currently at BALLEW ADVISORS INC located in Jackson, Mississippi. Clyde is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Clyde has worked at 4 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 14, Series 24 and Series 28 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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RAYMOND JAMES & ASSOCIATES, INC.
Contact Information
xxxxx@xxxx.xxx
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RAYMOND JAMES & ASSOCIATES, INC.
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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RAYMOND JAMES & ASSOCIATES, INC.
Years of Experience
39 years in the financial services industry
Current & Past Employments
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Current Firm
BALLEW ADVISORS INC | CONSILIUM CAPITAL, LLC | BALLEW RUSSELL INC
Contact Information
Main Address
100 Vision Drive Suite 325, Jackson, MS 39211Phone Number
(601) 368-3500# of Employees
11SEC notice filing (12 States and Territories)
Registered to provide investment advisory services in 12 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
1,815AUM (Assets Under Management)
$1,296,126,408Similar Advisors
RAYMOND JAMES & ASSOCIATES, INC.
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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RAYMOND JAMES & ASSOCIATES, INC.
Primary Firm SEC Registration
BALLEW ADVISORS INC | CONSILIUM CAPITAL, LLC | BALLEW RUSSELL INC
State Registrations and Notice Filings
(7/25/1997)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 28 — Introducing Broker/Dealer Financial Operations Principal Examination
Passed Jun 1993About the Series 28 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Clyde Brooks Mosley's CRS (Customer Relationship Summary).
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RAYMOND JAMES & ASSOCIATES, INC.
