Brock Evan Moseley
Professional Summary
Brock Evan Moseley is a registered financial advisor currently at COMPOSITION WEALTH, LLC located in Los Angeles, California. Brock is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Brock has worked at 5 firms and has passed the Series 65, Series 63, Series 3 and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
SOUTH BAY FINANCIAL PARTNERS
MORGAN STANLEY
MORGAN STANLEY
J.P. MORGAN SECURITIES LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
SOUTH BAY FINANCIAL PARTNERS
MORGAN STANLEY
MORGAN STANLEY
J.P. MORGAN SECURITIES LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
SOUTH BAY FINANCIAL PARTNERS
MORGAN STANLEY
MORGAN STANLEY
J.P. MORGAN SECURITIES LLC
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.
Similar Advisors
SOUTH BAY FINANCIAL PARTNERS
MORGAN STANLEY
MORGAN STANLEY
J.P. MORGAN SECURITIES LLC
Years of Experience
31 years in the financial services industry
Current & Past Employments
Similar Advisors
SOUTH BAY FINANCIAL PARTNERS
MORGAN STANLEY
MORGAN STANLEY
J.P. MORGAN SECURITIES LLC
Current Firm
COMPOSITION WEALTH, LLC | MIRACLE MILE ADVISORS, LLC | MIRACLE MILE ADVISORS, INC.
Contact Information
Main Address
11300 West Olympic Blvd Suite 800, Los Angeles, CA 90064Phone Number
(310) 246-1243# of Employees
128SEC notice filing (40 States and Territories)
Registered to provide investment advisory services in 40 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
12,787AUM (Assets Under Management)
$9,470,778,412Similar Advisors
SOUTH BAY FINANCIAL PARTNERS
MORGAN STANLEY
MORGAN STANLEY
J.P. MORGAN SECURITIES LLC
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.
Similar Advisors
SOUTH BAY FINANCIAL PARTNERS
MORGAN STANLEY
MORGAN STANLEY
J.P. MORGAN SECURITIES LLC
Primary Firm SEC Registration
COMPOSITION WEALTH, LLC | MIRACLE MILE ADVISORS, LLC | MIRACLE MILE ADVISORS, INC.
State Registrations and Notice Filings
(9/6/2023)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Similar Advisors
SOUTH BAY FINANCIAL PARTNERS
MORGAN STANLEY
MORGAN STANLEY
J.P. MORGAN SECURITIES LLC
CRS (Client Relationship Summary) - RIA
Click below to view Brock Evan Moseley's CRS (Customer Relationship Summary).
Similar Advisors
SOUTH BAY FINANCIAL PARTNERS
MORGAN STANLEY
MORGAN STANLEY
J.P. MORGAN SECURITIES LLC
