Brett Michael Mossman

EDELMAN FINANCIAL ENGINES

DANVILLE, CA · CRD#

STRATEGIC ADVISERS LLC

SAN RAMON, CA · CRD#

TERRAFIRMA WEALTH PARTNERS

WALNUT CREEK, CA · CRD#

GINSBERG FINANCIAL STRATEGIES

WALNUT CREEK, CA · CRD#

Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

31 years registered in the securities industry

Current & Past Employments

Current

FRANKLIN DISTRIBUTORS, LLCCurrent·CRD# 109064

BD

2700 Camino Ramon Suite 250, San Ramon, CA 94583

May 18, 2026 - Present

Past

BLACKROCK INVESTMENTS, LLCPast·CRD# 38642

BD

San Francisco, CA

January 3, 2012 - January 18, 2023

BLACKROCK FUND DISTRIBUTION COMPANYPast·CRD# 146183

BD

Jersey City, NJ

July 29, 2008 - December 31, 2011

BLACKROCK EXECUTION SERVICESPast·CRD# 39438

BD

Jersey City, NJ

January 21, 2008 - December 31, 2008

ROBERT FLEMING INC.Past·CRD# 1711

RIA

New York, NY

November 12, 2002 - December 20, 2002

J.P. MORGAN INVESTMENT MANAGEMENT INC.Past·CRD# 107038

RIA

New York, NY

November 4, 2002 - December 20, 2002

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.Past·CRD# 102920

BD

New York, NY

July 13, 2001 - December 13, 2002

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.Past·CRD# 102920

BD

New York, NY

May 2, 2000 - January 19, 2001

VP DISTRIBUTORS, LLCPast·CRD# 3036

BD

Hartford, CT

January 21, 1998 - April 4, 2000

PXP SECURITIES CORP.Past·CRD# 22898

BD

Hartford, CT

November 2, 1999 - December 1, 1999

AVANTAX INVESTMENT SERVICES, INC.Past·CRD# 13686

BD

Dallas, TX

January 22, 1997 - March 4, 1998

NATIONAL CLEARING CORP.Past·CRD# 14343

BD

Sherman Oaks, CA

May 24, 1996 - November 13, 1996

AMERIPRISE ADVISOR SERVICES, INC.Past·CRD# 5979

BD

Detroit, MI

March 5, 1996 - April 22, 1996

PRUCO SECURITIES, LLC.Past·CRD# 5685

BD

Newark, NJ

June 19, 1995 - October 6, 1995

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DANVILLE, CA · CRD#

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Customer Relationship Summary (CRS / 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)

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

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Direct owners and executive officers

Name	Position	CRD#
TEMPLETON WORLDWIDE, INC.	SHAREHOLDER	—
CIEPRISZ, KENNETH DAVID	CHIEF COMPLIANCE OFFICER	2303713
GAMBA, DANIEL ERNESTO	CHIEF EXECUTIVE OFFICER	4594704
MASOM, JEFFREY SCOTT	PRESIDENT-DIRECTOR	2870966
PATERSON, DAVID	CHIEF FINANCIAL OFFICER AND DESIGNATED FINANCIAL PRINCIPAL	7001546

Disclosures

Regulatory Event

1

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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EDELMAN FINANCIAL ENGINES

DANVILLE, CA · CRD#

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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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

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

Puerto Rico
(6/11/2026)

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

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Jun 1995About the Series 6 exam

Series 24 — General Securities Principal Examination

Passed Aug 2026About the Series 24 exam

Series 53 — Municipal Securities Principal Examination

Passed Aug 1997About the Series 53 exam

Series 4 — Registered Options Principal Examination

Passed Mar 1997About the Series 4 exam

FINRA

SRO Registrations

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CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Brett Michael Mossman's CRS (Customer Relationship Summary).

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