David E. Moses

STATERA FINANCIAL

Walpole, MA 02081

Some features on this profile are disabled

CRD#: 6435208

Professional summary

David Eric Moses, CFP®, who also goes by David Moses, is a registered financial advisor currently at STATERA FINANCIAL, LLC located in Walpole, Massachusetts.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. David has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

David Moses

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)STATERA FINANCIAL; Yes investment related; 713 East Street, #201, Walpole, MA 02081; Selling of life and Health insurance, disability and long term care; agent; 01/01/2016-present; 5 Hours/month (5 during market hours). (2)NAME: MA HOCKEY ASSOCIATION. INV REL: N ADD: 32 STEWART ST. NATURE: BOARD SERVICE. POSITION: SERVES ON THE FINANCE COMMITTEE AND THE CHAIR OF THE AUDIT COMMITTEE. START DATE: JUNE 2010. No. HR/MO: 10. No. HR/MO DURING SEC TRADING: 0.(3) TOWN OF FRANKLIN FINANCE COMMITTEE; NOT INVESTMENT RELATED; 355 EAST CENTRAL STREET FRANKLIN MA 02038; APPOINTED POSITION - FINANCE BOARD IS THERE TO APPROVE BUDGETS FOR FINAL TOWN COUNCIL APPROVAL; COMMITTEE MEMBER; 10/01/2015-PRESENT; 1 HOUR/MONTH; 0 HOURS/TRADING; MEET 8 TIMES A YEAR, MOSTLY TO APPROVE DEPARTMENT BUDGETS. (4) NORFOLK COMMUNITY CREDIT UNION; NOT INVESTMENT RELATED; NORFOLK, VA; MEMBER OF THE BOARD OF DIRECTORS; START: 2020; APPROXIMATELY 1 HRS/MO OUTSIDE TRADING HOURS; ASSIST WITH DECISIONS FOR CURRENT AND LONG-TERM FINANCIAL SOUNDNESS OF CREDIT UNION.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Eric Moses'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^®

Certified Financial Planner

Start date: 2020

Experience

Current

December 10, 2019 - Present

STATERA FINANCIAL, LLC

Office #1: 713 East Street, Walpole, MA 02081

RIA

CRD#: 304957

Walpole, MA

Past

July 5, 2016 - October 23, 2019

ON INVESTMENT MANAGEMENT CO

RIA

CRD#: 105662

Walpole, MA

Past

February 3, 2016 - October 23, 2019

THE O.N. EQUITY SALES COMPANY

CRD#: 2936

Walpole, MA

Past

February 17, 2015 - December 7, 2015

MML INVESTORS SERVICES, LLC

CRD#: 10409

FOXBORO, MA

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

Massachusetts
(12/10/2019)

IAR

Rhode Island
(6/22/2020)

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

State Security Law Exam

IAR

Series 65

Date: 6/3/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/24/2015

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 2/17/2015

Investment Company Products/Variable Contracts Representative Examination

Current Firm

STATERA FINANCIAL, LLC

CRD#: 304957 / SEC#:

Massachusetts

Registered Investment Advisory firm - (12/10/2019 Approved)

Rhode Island

Registered Investment Advisory firm - (6/22/2020 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

713 East Street, Walpole, MA 02081

Mailing Address

Phone number

(774) 777-6646

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	266
AUM (Assets Under Management)	$ 43,000,000

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.

Similar Advisors

Tamara Rose

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

BOSTON, MA

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

David E. Moses

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Eric Moses's CRS (Customer Relationship Summary).

Certified licenses

Experience

STATERA FINANCIAL, LLC

ON INVESTMENT MANAGEMENT CO

THE O.N. EQUITY SALES COMPANY

MML INVESTORS SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/3/2016

Series 63

Date: 3/24/2015

SIE

Date: 10/1/2018

Series 6

Date: 2/17/2015

Current Firm

STATERA FINANCIAL, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

STATERA FINANCIAL, LLC

TRUST BUT VERIFY

Similar Advisors