RR
Roberto Romero Leon
MOSLEY WEALTH MANAGEMENT
Anaheim, CA 92806
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CRD#: 7400252
RR
Professional summary
Roberto Romero Leon is a registered financial advisor currently at MOSLEY WEALTH MANAGEMENT, INC. located in Anaheim, California.
Roberto is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2024. Roberto has worked at 1 firm and has passed the Series 65 and SIE 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.) MOSLEY INSURANCE AND FINANCIAL SERVICES INC.; 2401 EAST KATELLA STREET, SUITE 270, ANAHEIM, CA 92806; INSURANCE SALES; INSURANCE AGENT; START DATE 12/2024 - PRESENT; APPROX 160 HRS/MONTH; APPROX 160 HRS/MONTH DURING TRADING; INSURANCE SALES AND SERVICES. NOT INVESTMENT RELATED.
CRS (Client Relationship Summary) - RIA
Click below to view Roberto Romero Leon'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
January 25, 2024 - Present
MOSLEY WEALTH MANAGEMENT, INC.
Office #1: 2401 E. Katella Avenue Suite 270, Anaheim, CA 92806RIA
CRD#: 318592
Anaheim, CA
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
California(1/25/2024)
Exams
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.
