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Thomas L. Moser

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CRD#: 1641828
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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.

Thomas Lee Moser was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1987. Thomas had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
1. First Affirmative Financial, Is Investment Related, 5475 Mark Dabling Boulevard Suite 108, Colorado Springs, Colorado 80918, Portfolio Manager and investment advisory rep, Investment Advisory Rep,11/30/1989,10 hours per month,30 hours per month during trading hours, Other Compensation, "Assets based. Duties are: Research equities, portfolio construction and reconstruction".

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 20, 2008 - December 3, 2015

FINANCIAL WEST GROUP

RIA
CRD#: 16668
MARANA, AZ
Past

January 3, 2008 - April 25, 2024

PORTFOLIO RESOURCES ADVISOR GROUP, INC.

RIA
CRD#: 144601
MARANA, AZ
Past

January 3, 2008 - April 25, 2024

PORTFOLIO RESOURCES GROUP, INC.

BD
CRD#: 31155
CORAL GABLES, FL
Past

May 14, 2007 - June 23, 2008

RESPONSIBLE PORTFOLIO MANAGEMENT, LLC

RIA
CRD#: 142254
TUCSON, AZ
Past

February 19, 2002 - December 31, 2007

FINANCIAL WEST GROUP

RIA
CRD#: 16668
TUCSON, AZ
Past

June 15, 2001 - December 31, 2007

FINANCIAL WEST GROUP

BD
CRD#: 16668
TUCSON, AZ
Past

August 18, 1999 - December 31, 2004

FIRST AFFIRMATIVE FINANCIAL NETWORK LLC

RIA
CRD#: 109036
TUCSON, AZ
Past

October 25, 1990 - June 28, 2001

WALNUT STREET SECURITIES, INC.

BD
CRD#: 15840
EL SEGUNDO, CA
Past

June 5, 1989 - October 26, 1990

ASSOCIATED SECURITIES CORP.

BD
CRD#: 12969
BOSTON, MA
Past

March 25, 1987 - May 30, 1989

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 7/14/1995
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/22/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/21/1987
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/24/1999
General Securities Principal Examination

Current Firm

FW
FINANCIAL WEST GROUP
FINANCIAL WEST GROUP | TORREYA CAPITAL, A DIVISION OF FINANCIAL WEST GROUP | REEDLAND CAPITAL PARTNERS, AN INSTITUTIONAL DIVISION OF FWG | PACIFIC ASSET GROUP, INC. | GELLER BIOPHARM - A HEALTH CARE INVESTMENT BANKING DIVISION FWG | FINANCIAL WEST INVESTMENT GROUP, INC. DBA FINANCIAL WEST GROUP | FINANCIAL WEST INVESTMENT GROUP, INC.

CRD#: 16668 / SEC#: 801-57393, 8-34448

BD
Cancelled by SEC on 09/28/2023
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Contact information

Main Address
1330 Lander St., Reno, NV 89509
Mailing Address
Phone number
Established
California since 05/22/1985
Firm type
Corporation
Fiscal year end
September
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Part 2 Brochures

Direct owners and executive officers

NamePositionCRD#
PARADOX HOLDING, INC. A NEVADA CORPORATIONSHAREHOLDER
DOYLE, JACOB MICHAELVICE PRESIDENT6014279
HODGES, AL CLIFTONBOARD MEMBER6594701
VALENTINE, GENE CHARLESCHIEF COMPLIANCE OFFICER1079871
VALENTINE, GENE CHARLESCHAIRMAN/CEO/PRESIDENT1079871

Disclosures

Regulatory Event73
Arbitration7

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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Company Information

FINANCIAL WEST GROUP

CRD#: 16668

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