CM
Clyde B. Mosley
BALLEW ADVISORS
Jackson, MS 39211
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CRD#: 1517941
CM
Professional summary
Clyde Brooks Mosley is a registered financial advisor currently at BALLEW ADVISORS INC located in Jackson, Mississippi and BALLEW INVESTMENTS, INC. located in Jackson, Mississippi.
Clyde is registered as an IAR (Investment Advisor Representative) and RR (Registered 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.
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.
SECURITY BALLEW, INC. AKA BALLEW WEALTH MANAGEMENT; INVESTMENT-RELATED; JACKSON, MS; WEALTH MANAGEMENT; PRESIDENT & BOARD MEMBER; START DATE 06/1988; APPROXIMATELY 10-15 HRS PER MONTH, 5-10 DURING TRADING HOURS. S B HOLDING COMPANY, INC.; INVESTMENT-RELATED; JACKSON, MS; HOLDING COMPANY; PRESIDENT & BOARD MEMBER; START DATE 01/2005; APPROXIMATELY 5 HRS PER MONTH; 2-3 DURING TRADING HOURS. BIA, INC.; INVESTMENT-RELATED; JACKSON, MS; INSURANCE AGENCY; PRESIDENT AND INSURANCE AGENT; START DATE 06/1994; LESS THAN 10 HRS PER MONTH, 4-5 DURING TRADING HOURS; SELL AND SERVICE FIXED INSURANCE PRODUCTS. BALLEW INVESTMENTS, INC.; INVESTMENT-RELATED; JACKSON, MS; PRESIDENT, DIRECTOR; START DATE 12/1992; 10 HRS PER MONTH, 10 HRS DURING TRADING HOURS; SELL AND SERVICE BROKER DEALER PRODUCTS/ACCOUNTS. BALLEW ADVISORS, INC.; INVESTMENT-RELATED; JACKSON, MS; PRESIDENT, DIRECTOR; START DATE 03/1991; 80 HRS PER MONTH, 80 HRS DURING TRADING HOURS; SELL AND SERVICE ADVISORY PRODUCTS/ACCOUNTS. BALLEW WEALTH MANAGEMENT, LLC; INVESTMENT RELATED; JACKSON, MS; HOLDING COMPANY; MANAGING MEMBER; START DATE 08/2023; APPROX 5 HRS PER MONTH; APPROX 2 TO 3 HRS DURING TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Clyde Brooks Mosley'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®
NoneExperience
Current
August 29, 1994 - Present
BALLEW ADVISORS INC
Office #1: 100 Vision Drive Suite 325, Jackson, MS 39211RIA
CRD#: 110522
Jackson, MS
Current
September 16, 1993 - Present
BALLEW INVESTMENTS, INC.
Office #1: 100 Vision Drive Suite 325, Jackson, MS 39211Office #2: 100 Vision Drive Suite 325, Jackson, MS 39211BD
CRD#: 32028
Jackson, MS
Past
August 20, 2002 - December 31, 2002
CHOICES INC
RIA
CRD#: 110524
JACKSON, MS
Past
May 21, 1987 - September 22, 1993
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
ST. PETERSBURG, FL
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".
BA
BALLEW ADVISORS INC
BALLEW ADVISORS INC | CONSILIUM CAPITAL, LLC | BALLEW RUSSELL INC
CRD#: 110522 / SEC#: 801-38978
RIA
Registered Investment Advisory firm - (6/21/1991 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.RR
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
RR
Georgia(4/18/2016)
RR
Mississippi(9/17/1993)
IAR
Mississippi(7/25/1997)
RR
New Jersey(1/3/2007)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 28
Date: 6/15/1993
Introducing Broker/Dealer Financial Operations Principal ExaminationSRO Registrations
RR
FINRA
Current Firm
BA
BALLEW ADVISORS INC
BALLEW ADVISORS INC | CONSILIUM CAPITAL, LLC | BALLEW RUSSELL INC
CRD#: 110522 / SEC#: 801-38978
RIA
Registered Investment Advisory firm - (6/21/1991 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
100 Vision Drive Suite 325, Jackson, MS 39211
Mailing Address
Phone number
(601) 368-3500
Established
Firm type
Fiscal year end
# of Employees
11
SEC notice filing (12 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,752 |
| AUM (Assets Under Management) | $ 1,101,192,631 |
Red Flags
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Company Information
BALLEW ADVISORS INC
CRD#: 110522Jackson, MS 39211TRUST BUT VERIFY
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Contact information
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