Brett M. Mossman
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.
Brett Michael Mossman was a registered financial professional .
Brett is a previously registered financial professional and started their career in finance in 1995. Brett had worked at 12 firms and has passed the Series 63, Series 65, Series 52TO, SIE, Series 7, Series 52, Series 6, Series 24, Series 53 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2012 - January 18, 2023
BLACKROCK INVESTMENTS, LLC
July 29, 2008 - December 31, 2011
BLACKROCK FUND DISTRIBUTION COMPANY
January 21, 2008 - December 31, 2008
BLACKROCK EXECUTION SERVICES
November 12, 2002 - December 20, 2002
ROBERT FLEMING INC.
November 4, 2002 - December 20, 2002
J.P. MORGAN INVESTMENT MANAGEMENT INC.
July 13, 2001 - December 13, 2002
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
May 2, 2000 - January 19, 2001
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
November 2, 1999 - December 1, 1999
PXP SECURITIES CORP.
January 21, 1998 - April 4, 2000
VP DISTRIBUTORS LLC
January 22, 1997 - March 4, 1998
AVANTAX INVESTMENT SERVICES, INC.
May 24, 1996 - November 13, 1996
NATIONAL CLEARING CORP.
March 5, 1996 - April 22, 1996
AMERIPRISE ADVISOR SERVICES, INC.
June 19, 1995 - October 6, 1995
PRUCO SECURITIES, LLC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
BLACKROCK INVESTMENTS, LLC
CRD#: 38642 / SEC#: , 8-48436
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BLACKROCK FINANCIAL MANAGEMENT, INC | SOLE SHAREHOLDER | 107105 |
| DEVICO, JOSEPH GEORGE | MANAGER | 2808563 |
| HEROLD, MEREDITH L | MANAGER | 4792340 |
| MARCUS, ZACHARY SETH | CHIEF FINANCIAL OFFICER AND FINOP | 7040433 |
| MARO, JONATHAN MARTIN | CHIEF EXECUTIVE OFFICER AND MANAGER | 6476640 |
| MEADE, CHRISTOPHER JOSEPH | CHIEF LEGAL OFFICER | 6728448 |
| ROHE, DOMINIK | MANAGER | 3275040 |
| ROSTA, GREGORY MATTHEW | CHIEF COMPLIANCE OFFICER | 5193482 |
| RZOMP, CYNTHIA SUEN-WAH | CHIEF OPERATING OFFICER | 5221316 |
| VILLACORTA, ROLAND ESTEBAN | MANAGER | 2566073 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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.
