Elliot D. Moses

SANGUINE OWL, LC

Ogden, UT

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CRD#: 2342116

Professional summary

Elliot D Moses is a registered financial advisor currently at SANGUINE OWL, LC located in Ogden, Utah.

Elliot is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Elliot has worked at 4 firms and has passed the Series 65, Series 63 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.

DOING BUSINESS IN MANUFACTURING AS CEO WITH DACO ENTERPRISES, INC., AND FOLLOWING BUSINESSES RELATED BY COMMON OWNERSHIP: CAPTIVE EQUIPMENT LEASING AS MEMBER MANAGER WITH HATU WINDS, LC, REAL ESTATE LEASING AS MEMBER MANAGER WITH HATU WINDS LAND CO., LC, AND CAPTIVE LEASING AND RAW MATERIAL SALES AS MEMBER MANAGER WITH JERANIMO, LC. TRUSTEE FOR FAMILY RELATED TRUSTS. PAID COMPENSATION IS EXPECTED TO BE $0-$1500 PER ANNUM. MANAGING MEMBER FOR FAMILY LLC, DANELIN ENTERPRISES, LLC (BUSINESS RELATED BY COMMON OWNERSHIP) (INVESTMENT RELATED). AT LEAST 40 HR.S/WK FOR COMBINED ACTIVITIES ABOVE.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Elliot D Moses'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

March 3, 2017 - Present

SANGUINE OWL, LC

RIA

CRD#: 163924

Ogden, UT

Past

September 16, 2013 - December 31, 2016

SANGUINE OWL, LC

RIA

CRD#: 163924

OGDEN, UT

Past

July 1, 2002 - December 31, 2010

SPEAR CAPITAL MANAGEMENT, INC.

RIA

CRD#: 114364

OGDEN, UT

Past

August 10, 1993 - December 31, 2001

PAULSON INVESTMENT COMPANY LLC

CRD#: 5670

PORTLAND, OR

Past

July 27, 1993 - August 17, 1993

COVEY & CO., INC.

CRD#: 4110

SALT LAKE CITY, UT

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

Utah
(3/3/2017)

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

IAR

Series 65

Date: 5/17/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/3/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/29/1993

General Securities Representative Examination

Current Firm

SANGUINE OWL, LC

CRD#: 163924 / SEC#:

Utah

Registered Investment Advisory firm - (3/3/2017 Approved)

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Contact information

Main Address

Ogden, UT

Mailing Address

Po Box 150296, Ogden, UT 84415-0296

Phone number

(801) 643-1419

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	10
AUM (Assets Under Management)	$ 1,787,000

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Elliot D. Moses

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Elliot D Moses's CRS (Customer Relationship Summary).

Certified licenses

Experience

SANGUINE OWL, LC

SANGUINE OWL, LC

SPEAR CAPITAL MANAGEMENT, INC.

PAULSON INVESTMENT COMPANY LLC

COVEY & CO., INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/17/2002

Series 63

Date: 5/3/1993

Series 7

Date: 4/29/1993

Current Firm

SANGUINE OWL, LC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SANGUINE OWL, LC

TRUST BUT VERIFY

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