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EM

Elizabeth J. Mozer

ARES WEALTH MANAGEMENT SOLUTIONS
Denver, CO 80202
Some features on this profile are disabled
CRD#: 4800533
EM

Professional summary

Elizabeth Jill Mozer, who also goes by Elizabeth Jill Mozer, Jill Mozer, is a registered financial professional currently at ARES WEALTH MANAGEMENT SOLUTIONS, LLC located in Denver, Colorado and ARES MANAGEMENT CAPITAL MARKETS LLC located in Denver, Colorado.

Elizabeth is registered as a RR (Registered Representative) and started their career in finance in 2004. Elizabeth has worked at 2 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Elizabeth Jill Mozer | Jill Mozer

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 Elizabeth Jill Mozer'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

June 7, 2004 - Present

ARES WEALTH MANAGEMENT SOLUTIONS, LLC

Office #1: 1200 17th Street Suite #2900, Denver, CO 80202
BD
CRD#: 119546
Denver, CO
Current

July 29, 2024 - Present

ARES MANAGEMENT CAPITAL MARKETS LLC

Office #1: 1200 17th Street - Suite 2900, Denver, CO 80202
BD
CRD#: 166219
Denver, CO

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
(1/2/2019)
RR
Alaska
(1/2/2019)
RR
Arizona
(1/2/2019)
RR
Arkansas
(1/2/2019)
RR
California
(1/2/2019)
RR
Colorado
(6/7/2004)
RR
Connecticut
(1/2/2019)
RR
Delaware
(1/2/2019)
RR
District of Columbia
(1/2/2019)
RR
Florida
(1/2/2019)
RR
Georgia
(1/2/2019)
RR
Hawaii
(1/2/2019)
RR
Idaho
(1/2/2019)
RR
Illinois
(1/2/2019)
RR
Indiana
(1/2/2019)
RR
Iowa
(1/2/2019)
RR
Kansas
(1/2/2019)
RR
Kentucky
(1/2/2019)
RR
Louisiana
(1/2/2019)
RR
Maine
(1/2/2019)
RR
Maryland
(1/2/2019)
RR
Massachusetts
(1/2/2019)
RR
Michigan
(1/2/2019)
RR
Minnesota
(1/2/2019)
RR
Mississippi
(1/2/2019)
RR
Missouri
(1/2/2019)
RR
Montana
(1/2/2019)
RR
Nebraska
(1/2/2019)
RR
Nevada
(1/2/2019)
RR
New Hampshire
(1/2/2019)
RR
New Jersey
(1/2/2019)
RR
New Mexico
(1/2/2019)
RR
New York
(1/2/2019)
RR
North Carolina
(1/2/2019)
RR
North Dakota
(1/2/2019)
RR
Ohio
(1/3/2019)
RR
Oklahoma
(1/2/2019)
RR
Oregon
(1/2/2019)
RR
Pennsylvania
(1/2/2019)
RR
Puerto Rico
(1/2/2019)
RR
Rhode Island
(1/2/2019)
RR
South Carolina
(1/2/2019)
RR
South Dakota
(1/2/2019)
RR
Tennessee
(1/2/2019)
RR
Texas
(1/2/2019)
RR
Utah
(1/2/2019)
RR
Vermont
(1/2/2019)
RR
Virgin Islands
(12/13/2019)
RR
Virginia
(1/2/2019)
RR
Washington
(1/2/2019)
RR
West Virginia
(1/2/2019)
RR
Wisconsin
(1/2/2019)
RR
Wyoming
(1/2/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 7/19/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/5/2004
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/17/2007
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AM
ARES MANAGEMENT CAPITAL MARKETS LLC
ARES INVESTOR SERVICES LLC | ARES MANAGEMENT CAPITAL MARKETS LLC

CRD#: 166219 / SEC#: , 8-69194

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
1800 Avenue Of The Stars Suite 1400, Los Angeles, CA 90067
Mailing Address
1800 Avenue Of The Stars Suite 1400, Los Angeles, CA 90067
Phone number
(310) 432-8708
Established
Delaware since 01/20/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ARES MANAGEMENT LLCMEMBER130074
BRAUN, HEATHER GROSSMANCOO3141608
INFANGER, MARK CHARLESCFO AND FINOP2369723
MAGNER, BRIANCCO3069172
PAWLOWSKI, ANTHONY JOHNPRESIDENT4337887

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

ARES MANAGEMENT CAPITAL MARKETS LLC

CRD#: 166219Denver, CO 80202

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