Mark A. Moberg

GREEN OCEAN GLOBAL ADVISORS LLC

Tampa, FL

Some features on this profile are disabled

CRD#: 2247389

Professional summary

Mark Allan Moberg is a registered financial advisor currently at GREEN OCEAN GLOBAL ADVISORS LLC located in Tampa, Florida.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Mark has worked at 5 firms and has passed the Series 63, SIE, Series 3 and Series 7 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Allan Moberg'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

December 6, 2024 - Present

GREEN OCEAN GLOBAL ADVISORS LLC

RIA

CRD#: 321145

Tampa, FL

Past

December 13, 2005 - December 31, 2021

GROVE POINT INVESTMENTS, LLC

CRD#: 1763

TAMPA, FL

Past

April 19, 1999 - December 12, 2005

NATIONAL PLANNING CORPORATION

CRD#: 29604

TAMPA, FL

Past

March 6, 1997 - March 18, 1999

IFG NETWORK SECURITIES, INC.

CRD#: 19948

ATLANTA, GA

Past

June 19, 1992 - February 18, 1997

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

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

Florida
(12/6/2024)

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: 7/16/1992

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: 6/17/1993

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 6/17/1992

General Securities Representative Examination

Current Firm

GREEN OCEAN GLOBAL ADVISORS LLC

CRD#: 321145 / SEC#:

California

Registered Investment Advisory firm - (6/8/2022 Approved)

Florida

Registered Investment Advisory firm - (9/6/2024 Approved)

Washington

Registered Investment Advisory firm - (2/26/2024 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

201 Spear Street, Suite 1100, San Francisco, CA 94105

Mailing Address

Phone number

(415) 347-8057

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	71
AUM (Assets Under Management)	$ 52,900,000

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Mark A. Moberg

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Allan Moberg's CRS (Customer Relationship Summary).

Certified licenses

Experience

GREEN OCEAN GLOBAL ADVISORS LLC

GROVE POINT INVESTMENTS, LLC

NATIONAL PLANNING CORPORATION

IFG NETWORK SECURITIES, INC.

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/16/1992

SIE

Date: 10/1/2018

Series 3

Date: 6/17/1993

Series 7

Date: 6/17/1992

Current Firm

GREEN OCEAN GLOBAL ADVISORS LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

GREEN OCEAN GLOBAL ADVISORS LLC

TRUST BUT VERIFY

Similar Advisors