James A. Mosteller

LIBERTY ASSET MANAGEMENT

WOODRIDGE, IL 60517

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CRD#: 2127099

Professional summary

James Arthur Mosteller III, AIF®, ChFC®, who also goes by James A Mosteller, is a registered financial advisor currently at LIBERTY ASSET MANAGEMENT, INC. located in Woodridge, Illinois.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. James has worked at 3 firms and has passed the Series 63, Series 65, Series 6 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James A Mosteller

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 OF BUSINESS: MOSTELLER & HOLMBERG, P.C. - LAW FIRM NON-SECURITIES RELATED 6723 KINGERY HIGHWAY WILLOWBROOK, ILLINOIS 60527 POSITION: PARTNER ESTABLISHED: 1996 HRS: 10 HOURS/MONTH DUTIES: CONSULT WITH MANAGING PARTNER ON MARKETING CONCEPTS AND ESTATE PLANNING/ELDER LAW ISSUES RELATING TO OUR CLIENTS. SECURE EQUITY, INC. - INSURANCE SERVICES NON-SECURITIES RELATED 6723 KINGERY HIGHWAY WILLOWBROOK, ILLINOIS 60527 POSITION: PRESIDENT ESTABLISHED: 1998 HOURS: 10 HOURS/MONTH DUTIES: WORK WITH AGENT ON LEAD GENERATION AND MARKETING. OVERSEE DISTRIBUTION OF COMMISSIONS MOSTELLER WORLDWIDE, L.L.C. NON-SECURITIES RELATED 6723 KINGERY HIGHWAY WILLOWBROOK, ILLINOIS 60527 POSITION: OWNER ESTABLISHED: 2001 HOURS: 1 HOURS/MONTH COMPANY IS SIMPLY A HOLDING COMPANY FOR A PIECE OF COMMERCIAL REAL ESTATE. REVI

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Arthur Mosteller III'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®

AIF^®

Accredited Investment Fiduciary

ChFC^®

Chartered Financial Consultant

Experience

Current

June 10, 2005 - Present

LIBERTY ASSET MANAGEMENT, INC.

Office #1: 3550 Hobson Road Suite 101, Woodridge, IL 60517

RIA

CRD#: 135791

WOODRIDGE, IL

Past

April 13, 2006 - June 10, 2008

OBS BROKERAGE SERVICES, INC.

CRD#: 104281

WHITEHOUSE, OH

Past

February 8, 2006 - March 3, 2006

OBS BROKERAGE SERVICES, INC.

CRD#: 104281

WHITEHOUSE, OH

Past

February 1, 2005 - March 3, 2006

OBS BROKERAGE SERVICES, INC.

RIA

CRD#: 104281

WILLOWBROOK, IL

Past

August 18, 1995 - December 31, 1995

VESTAX SECURITIES CORPORATION

CRD#: 10332

HUDSON, OH

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".

LIBERTY ASSET MANAGEMENT, INC.

LIBERTY ASSET MANAGEMENT, INC. | TERNARY ADVISORY GROUP

CRD#: 135791 / SEC#: 801-125862

RIA

Registered Investment Advisory firm - (6/10/2022 Approved)

Illinois

Registered Investment Advisory firm - (6/28/2022 Terminated)

Ohio

Registered Investment Advisory firm - (3/6/2008 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

Illinois
(6/17/2005)

IAR

Texas
(3/30/2023)

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

Series 63

Date: 2/16/2006

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 12/14/2004

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 6

Date: 2/7/2006

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 7

Date: 8/17/1995

General Securities Representative Examination

Current Firm

LIBERTY ASSET MANAGEMENT, INC.

LIBERTY ASSET MANAGEMENT, INC. | TERNARY ADVISORY GROUP

CRD#: 135791 / SEC#: 801-125862

RIA

Registered Investment Advisory firm - (6/10/2022 Approved)

Illinois

Registered Investment Advisory firm - (6/28/2022 Terminated)

Ohio

Registered Investment Advisory firm - (3/6/2008 Terminated)

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Contact information

Main Address

3550 Hobson Road Suite 101, Woodridge, IL 60517

Mailing Address

Phone number

(630) 789-9653

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LIBERTY ASSET MANAGEMENT, INC. ADV PART 2 (9/18/2025)

Regulatory assets under management

Total Number of Accounts	501
AUM (Assets Under Management)	$ 143,306,643

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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Firm Stability Insights

James A. Mosteller

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Arthur Mosteller III's CRS (Customer Relationship Summary).

Certified licenses

Experience

OBS BROKERAGE SERVICES, INC.

OBS BROKERAGE SERVICES, INC.

OBS BROKERAGE SERVICES, INC.

VESTAX SECURITIES CORPORATION

Primary Firm SEC Registration

LIBERTY ASSET MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 2/16/2006

Series 65

Date: 12/14/2004

Series 6

Date: 2/7/2006

Series 7

Date: 8/17/1995

Current Firm

LIBERTY ASSET MANAGEMENT, INC.

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LIBERTY ASSET MANAGEMENT, INC.

TRUST BUT VERIFY

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