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Brett M. Mossman

FRANKLIN DISTRIBUTORS
San Ramon, CA 94583
CRD#: 2619933
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BM
Brett Michael MossmanFRANKLIN DISTRIBUTORS

Professional summary

Brett Michael Mossman is a registered financial professional currently at FRANKLIN DISTRIBUTORS, LLC located in San Ramon, California.

Brett is registered as a RR (Registered Representative) and started their career in finance in 1995. Brett has worked at 13 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

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Brett Michael Mossman'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®
None

Experience

Current

May 18, 2026 - Present

FRANKLIN DISTRIBUTORS, LLC

Office #1: 2700 Camino Ramon Suite 250, San Ramon, CA 94583
BD
CRD#: 109064
San Ramon, CA
Past

January 3, 2012 - January 18, 2023

BLACKROCK INVESTMENTS, LLC

BD
CRD#: 38642
SAN FRANCISCO, CA
Past

July 29, 2008 - December 31, 2011

BLACKROCK FUND DISTRIBUTION COMPANY

BD
CRD#: 146183
JERSEY CITY, NJ
Past

January 21, 2008 - December 31, 2008

BLACKROCK EXECUTION SERVICES

BD
CRD#: 39438
JERSEY CITY, NJ
Past

November 12, 2002 - December 20, 2002

ROBERT FLEMING INC.

RIA
CRD#: 1711
NEW YORK, NY
Past

November 4, 2002 - December 20, 2002

J.P. MORGAN INVESTMENT MANAGEMENT INC.

RIA
CRD#: 107038
NEW YORK, NY
Past

July 13, 2001 - December 13, 2002

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

BD
CRD#: 102920
NEW YORK, NY
Past

May 2, 2000 - January 19, 2001

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

BD
CRD#: 102920
NEW YORK, NY
Past

November 2, 1999 - December 1, 1999

PXP SECURITIES CORP.

BD
CRD#: 22898
HARTFORD, CT
Past

January 21, 1998 - April 4, 2000

VP DISTRIBUTORS LLC

BD
CRD#: 3036
HARTFORD, CT
Past

January 22, 1997 - March 4, 1998

AVANTAX INVESTMENT SERVICES, INC.

BD
CRD#: 13686
DALLAS, TX
Past

May 24, 1996 - November 13, 1996

NATIONAL CLEARING CORP.

BD
CRD#: 14343
SHERMAN OAKS, CA
Past

March 5, 1996 - April 22, 1996

AMERIPRISE ADVISOR SERVICES, INC.

BD
CRD#: 5979
DETROIT, MI
Past

June 19, 1995 - October 6, 1995

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(5/19/2026)
RR
Alaska
(5/21/2026)
RR
Arizona
(5/28/2026)
RR
Arkansas
(5/21/2026)
RR
California
(5/19/2026)
RR
Colorado
(5/20/2026)
RR
Connecticut
(5/20/2026)
RR
Delaware
(5/19/2026)
RR
District of Columbia
(5/20/2026)
RR
Florida
(5/20/2026)
RR
Georgia
(5/20/2026)
RR
Hawaii
(5/20/2026)
RR
Idaho
(5/20/2026)
RR
Illinois
(5/20/2026)
RR
Indiana
(5/19/2026)
RR
Iowa
(5/19/2026)
RR
Kansas
(5/28/2026)
RR
Kentucky
(5/21/2026)
RR
Louisiana
(5/19/2026)
RR
Maine
(5/19/2026)
RR
Maryland
(5/20/2026)
RR
Massachusetts
(5/20/2026)
RR
Michigan
(5/21/2026)
RR
Minnesota
(5/19/2026)
RR
Mississippi
(5/19/2026)
RR
Missouri
(5/19/2026)
RR
Montana
(5/19/2026)
RR
Nebraska
(5/19/2026)
RR
Nevada
(5/19/2026)
RR
New Hampshire
(5/21/2026)
RR
New Jersey
(5/29/2026)
RR
New Mexico
(5/20/2026)
RR
New York
(5/19/2026)
RR
North Carolina
(5/20/2026)
RR
North Dakota
(5/26/2026)
RR
Ohio
(5/19/2026)
RR
Oklahoma
(5/19/2026)
RR
Oregon
(5/28/2026)
RR
Pennsylvania
(5/20/2026)
RR
Rhode Island
(5/20/2026)
RR
South Carolina
(5/26/2026)
RR
South Dakota
(5/19/2026)
RR
Tennessee
(5/20/2026)
RR
Texas
(5/20/2026)
RR
Utah
(5/19/2026)
RR
Vermont
(5/20/2026)
RR
Virgin Islands
(5/26/2026)
RR
Virginia
(5/20/2026)
RR
Washington
(5/19/2026)
RR
West Virginia
(5/20/2026)
RR
Wisconsin
(5/21/2026)
RR
Wyoming
(5/20/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 5/14/2026
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 5/9/1997
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/18/2008
General Securities Representative Examination
General Industry/Product Exam
RR
Series 52
Date: 3/4/1996
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 6/16/1995
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/6/2019
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 8/13/1997
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 3/3/1997
Registered Options Principal Examination
SRO Registrations
RR
FINRA

Current Firm

FD
FRANKLIN DISTRIBUTORS, LLC
FRANKLIN DISTRIBUTORS, LLC | UNIFIED DISTRIBUTORS LLC | LEGG MASON INVESTORS SERVICES, LLC | LEGG MASON INVESTOR SERVICES, LLC | LATINVALLEY SECURITIES LLC

CRD#: 109064 / SEC#: , 8-53089

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
One Franklin Parkway, San Mateo, CA 94403
Mailing Address
1201 Wills Street, Baltimore, MD 21231
Phone number
(800) 632-2350
Established
Delaware since 12/01/2000
Firm type
Limited Liability Company
Fiscal year end
September
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
TEMPLETON WORLDWIDE, INC.SHAREHOLDER
CIEPRISZ, KENNETH DAVIDCHIEF COMPLIANCE OFFICER2303713
GAMBA, DANIEL ERNESTOCHIEF EXECUTIVE OFFICER4594704
MASOM, JEFFREY SCOTTPRESIDENT-DIRECTOR2870966
PATERSON, DAVIDCHIEF FINANCIAL OFFICER AND DESIGNATED FINANCIAL PRINCIPAL7001546

Disclosures

Regulatory Event1

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.

Company Information

FRANKLIN DISTRIBUTORS, LLC

CRD#: 109064San Ramon, CA 94583

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