BM
Barbara J. Moser
FOCUS FINANCIAL
Lisle, IL 60532
Some features on this profile are disabled
CRD#: 3129231
BM
Professional summary
Barbara Jane Moser, CFP® is a registered financial advisor currently at FOCUS FINANCIAL located in Lisle, Illinois and OSAIC WEALTH, INC. located in Lisle, Illinois.
Barbara is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Barbara has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1. MOSER & HEIER FINANCIAL SOLUTIONS POSITION: Other - Shareholder NATURE: Corporation - INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2006 ADDRESS: 901 Warrenville Rd #100, Lisle, Il 60532, Lisle IL 60532, United States DESCRIPTION: life, LTC, fixed annuity sales 2. FOCUS FINANCIAL NETWORK INC POSITION: Registered Investment Advisor NATURE: Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 50 SECURITIES TRADING HOURS: 140 START DATE: 01/01/2017 ADDRESS: 901 Warrenville RD #100, Lisle IL 60532, United States DESCRIPTION: Meet with clients to discuss financial needs, goals, objectives, conduct annual review, make recommendations for investment portfolios 3. MOSER & HEIER CPAS INC POSITION: Other - Shareholder NATURE: Corporation - INVESTMENT RELATED: No NUMBER OF HOURS: 60 SECURITIES TRADING HOURS: 20 START DATE: 10/01/1997 ADDRESS: 901 Warrenville Rd #100, Lisle, IL 60532, Lisle IL 60532, United States DESCRIPTION: Tax services for corporations, partnerships, personal, estates, financial statement preparation, sales and payroll tax preparation, tax analysis and planning. 4. POA POSITION: POA NATURE: POA for mother INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 10/21/2014 ADDRESS: 15 N Fremont St, Naperville IL 60540, United States DESCRIPTION: POA on my mother's banking, credit card, and IRA accounts 5. DAVID H MOSER LIVING TRUST DTD 5/25/06, DAVID & BARBARA MOSER TRUSTEE POSITION: Trustee NATURE: Individual INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 05/25/2006 ADDRESS: 15 N Fremont St, Naperville IL 60540, United States DESCRIPTION: Trustee with my husband on accounts titled in the name of his trust. Currently Bank account and homes
CRS (Client Relationship Summary) - RIA
Click below to view Barbara Jane Moser'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®
CFP®
Start date: 2003
Experience
Current
October 3, 2016 - Present
FOCUS FINANCIAL
Office #1: 901 Warrenville Road Suite 100, Lisle, IL 60532RIA
CRD#: 116140
Lisle, IL
Current
October 20, 1998 - Present
OSAIC WEALTH, INC.
Office #1: 901 Warrenville Road Suite 100, Lisle, IL 60532RIA
BD
CRD#: 23131
Lisle, IL
Past
October 22, 2004 - December 31, 2017
MOSER & HEIER FINANCIAL SOLUTIONS
RIA
CRD#: 123726
LISLE, IL
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".
FOCUS FINANCIAL
AFC FINANCIAL ADVISORY GROUP | MOSER & HEIER FINANCIAL SOLUTIONS | MERTZ WEALTH STRATEGIES | KMF ADVISORS | FOCUS FINANCIAL NETWORK, INC. | FOCUS FINANCIAL | FDI INCORPORATED/FINANCIAL DESIGNS | BROOKLANDS
CRD#: 116140 / SEC#: 801-71117
RIA
Registered Investment Advisory firm - (3/2/2010 Approved)Arizona
Registered Investment Advisory firm - (3/5/2010 Terminated)California
Registered Investment Advisory firm - (3/8/2010 Terminated)Colorado
Registered Investment Advisory firm - (3/12/2010 Terminated)Florida
Registered Investment Advisory firm - (3/5/2010 Terminated)Georgia
Registered Investment Advisory firm - (3/5/2010 Terminated)Illinois
Registered Investment Advisory firm - (3/2/2010 Terminated)Indiana
Registered Investment Advisory firm - (3/9/2010 Terminated)Iowa
Registered Investment Advisory firm - (3/5/2010 Terminated)Massachusetts
Registered Investment Advisory firm - (3/24/2010 Terminated)Minnesota
Registered Investment Advisory firm - (3/8/2010 Terminated)Missouri
Registered Investment Advisory firm - (3/5/2010 Terminated)Nebraska
Registered Investment Advisory firm - (3/12/2010 Terminated)New Jersey
Registered Investment Advisory firm - (3/5/2010 Terminated)New York
Registered Investment Advisory firm - (3/5/2010 Terminated)North Carolina
Registered Investment Advisory firm - (3/5/2010 Terminated)North Dakota
Registered Investment Advisory firm - (3/5/2010 Terminated)Ohio
Registered Investment Advisory firm - (3/5/2010 Terminated)Oregon
Registered Investment Advisory firm - (3/5/2010 Terminated)Pennsylvania
Registered Investment Advisory firm - (3/31/2010 Terminated)South Dakota
Registered Investment Advisory firm - (3/5/2010 Terminated)Texas
Registered Investment Advisory firm - (3/5/2010 Terminated)Washington
Registered Investment Advisory firm - (3/5/2010 Terminated)Wisconsin
Registered Investment Advisory firm - (3/5/2010 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.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(9/23/2019)
RR
Arizona(9/23/2008)
RR
Arkansas(1/24/2019)
RR
California(1/19/2007)
RR
Colorado(6/9/2009)
RR
Delaware(10/8/2021)
RR
Florida(9/23/2008)
RR
Georgia(9/23/2008)
RR
Idaho(1/7/2025)
RR
Illinois(10/20/1998)
IAR
Illinois(10/3/2016)
RR
Indiana(12/18/2006)
RR
Iowa(6/16/2020)
RR
Kansas(6/7/2024)
RR
Kentucky(8/10/2015)
RR
Louisiana(9/23/2008)
IAR
Louisiana(3/9/2018)
RR
Maryland(1/27/2012)
RR
Massachusetts(10/17/2023)
RR
Michigan(9/23/2008)
RR
Minnesota(10/4/1999)
RR
Missouri(11/4/2008)
RR
Nevada(1/8/2020)
RR
New Jersey(6/6/2018)
RR
New Mexico(11/4/2008)
RR
New York(3/27/2017)
RR
North Carolina(9/23/2008)
RR
North Dakota(6/24/2016)
RR
Ohio(9/24/2008)
RR
Oklahoma(1/14/2019)
RR
Oregon(7/25/2024)
RR
Pennsylvania(9/23/2008)
RR
South Carolina(8/31/2017)
RR
Tennessee(4/26/2023)
RR
Texas(9/23/2008)
IAR
Texas(10/3/2016)
RR
Utah(8/10/2011)
RR
Virginia(6/4/2018)
RR
Washington(12/18/2006)
RR
Wisconsin(5/23/2005)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FOCUS FINANCIAL
AFC FINANCIAL ADVISORY GROUP | MOSER & HEIER FINANCIAL SOLUTIONS | MERTZ WEALTH STRATEGIES | KMF ADVISORS | FOCUS FINANCIAL NETWORK, INC. | FOCUS FINANCIAL | FDI INCORPORATED/FINANCIAL DESIGNS | BROOKLANDS
CRD#: 116140 / SEC#: 801-71117
RIA
Registered Investment Advisory firm - (3/2/2010 Approved)Arizona
Registered Investment Advisory firm - (3/5/2010 Terminated)California
Registered Investment Advisory firm - (3/8/2010 Terminated)Colorado
Registered Investment Advisory firm - (3/12/2010 Terminated)Florida
Registered Investment Advisory firm - (3/5/2010 Terminated)Georgia
Registered Investment Advisory firm - (3/5/2010 Terminated)Illinois
Registered Investment Advisory firm - (3/2/2010 Terminated)Indiana
Registered Investment Advisory firm - (3/9/2010 Terminated)Iowa
Registered Investment Advisory firm - (3/5/2010 Terminated)Massachusetts
Registered Investment Advisory firm - (3/24/2010 Terminated)Minnesota
Registered Investment Advisory firm - (3/8/2010 Terminated)Missouri
Registered Investment Advisory firm - (3/5/2010 Terminated)Nebraska
Registered Investment Advisory firm - (3/12/2010 Terminated)New Jersey
Registered Investment Advisory firm - (3/5/2010 Terminated)New York
Registered Investment Advisory firm - (3/5/2010 Terminated)North Carolina
Registered Investment Advisory firm - (3/5/2010 Terminated)North Dakota
Registered Investment Advisory firm - (3/5/2010 Terminated)Ohio
Registered Investment Advisory firm - (3/5/2010 Terminated)Oregon
Registered Investment Advisory firm - (3/5/2010 Terminated)Pennsylvania
Registered Investment Advisory firm - (3/31/2010 Terminated)South Dakota
Registered Investment Advisory firm - (3/5/2010 Terminated)Texas
Registered Investment Advisory firm - (3/5/2010 Terminated)Washington
Registered Investment Advisory firm - (3/5/2010 Terminated)Wisconsin
Registered Investment Advisory firm - (3/5/2010 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1300 Godward Street Ne Suite 5500, Minneapolis, MN 55413
Mailing Address
Phone number
(651) 631-8166
Established
Firm type
Fiscal year end
# of Employees
172
SEC notice filing (46 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 26,057 |
| AUM (Assets Under Management) | $ 6,262,663,508 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/16/2025 |
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.
