FM
Felton T. Mosley
MOSLEY WEALTH MANAGEMENT
Anaheim, CA 92806
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CRD#: 2622714
FM
Professional summary
Felton Thomas Mosley, who also goes by Tom Mosley, is a registered financial advisor currently at MOSLEY WEALTH MANAGEMENT, INC. located in Anaheim, California.
Felton is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Felton has worked at 7 firms and has passed the Series 65, Series 63 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tom Mosley
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.
1. Mosley Insurance and Financial Services Inc.; not investment related; 2401 E. Katella Ave., Ste 270, Anaheim, CA; Owner and Insurance agent; 06/1995 - Present; Approximately 160 hours a month devoted, with approximately 100 hours during securities trading hours; Life insurance and annuity sales. Not investment related. 2. AE Wealth Management, LLC; 2401 E. Katella Ave., Ste 270, Anaheim, CA; Investment-Related; Investment Adviser Representative; 04/2016 - present; 40-50 hrs devoted per month, all during regular securities trading hours; I provide investment management/advice and financial planning services. 3. Mt. San Antonio College; 09/2015 - Present; 1100 N Grand Ave., Walnut, CA 91789; Non investment-related; Instructor; Less than 10 hours per month, all classes are taught at night or on weekends so no time devoted during trading hours; I teach a financial planning class through the community education division of the school 2-4 times per year.
CRS (Client Relationship Summary) - RIA
Click below to view Felton Thomas Mosley'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®
NoneExperience
Current
April 29, 2022 - Present
MOSLEY WEALTH MANAGEMENT, INC.
Office #1: 2401 E. Katella Avenue Suite 270, Anaheim, CA 92806RIA
CRD#: 318592
Anaheim, CA
Past
April 22, 2016 - August 2, 2022
AE WEALTH MANAGEMENT, LLC
RIA
CRD#: 282580
Anaheim, CA
Past
April 9, 2015 - September 9, 2016
VANN EQUITY MANAGEMENT LLC
RIA
CRD#: 174239
ANAHEIM, CA
Past
March 26, 2013 - April 7, 2015
HORTER INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 119880
PLACENTIA, CA
Past
August 13, 1998 - February 28, 2002
LOCUST STREET SECURITIES, INC.
BD
CRD#: 1703
DES MOINES, IA
Past
June 14, 1995 - December 31, 1995
WMA SECURITIES, INC.
BD
CRD#: 32625
DULUTH, GA
Past
June 14, 1995 - July 15, 1998
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
MW
MOSLEY WEALTH MANAGEMENT, INC.
MOSLEY WEALTH MANAGEMENT, INC.
CRD#: 318592 / SEC#: 801-129053
RIA
Registered Investment Advisory firm - (11/20/2023 Approved)Arizona
Registered Investment Advisory firm - (11/27/2023 Terminated)California
Registered Investment Advisory firm - (12/27/2023 Terminated)Louisiana
Registered Investment Advisory firm - (11/28/2023 Terminated)Texas
Registered Investment Advisory firm - (11/27/2023 Terminated)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
Arizona(7/26/2023)
IAR
California(4/29/2022)
IAR
Louisiana(4/29/2022)
IAR
Texas(5/12/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Current Firm
MW
MOSLEY WEALTH MANAGEMENT, INC.
MOSLEY WEALTH MANAGEMENT, INC.
CRD#: 318592 / SEC#: 801-129053
RIA
Registered Investment Advisory firm - (11/20/2023 Approved)Arizona
Registered Investment Advisory firm - (11/27/2023 Terminated)California
Registered Investment Advisory firm - (12/27/2023 Terminated)Louisiana
Registered Investment Advisory firm - (11/28/2023 Terminated)Texas
Registered Investment Advisory firm - (11/27/2023 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2401 E. Katella Avenue Suite 270, Anaheim, CA 92806
Mailing Address
Phone number
(714) 421-4288
Established
Firm type
Fiscal year end
# of Employees
15
SEC notice filing (7 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,081 |
| AUM (Assets Under Management) | $ 185,148,365 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
