John P. Mosley

Some features on this profile are disabled

CRD#: 817095

Professional summary

John Philip Mosley was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

John is a previously registered financial professional and started their career in finance in 1976. Prior to being barred, John had worked at 7 firms, which includes EAGLE STRATEGIES LLC, NYLIFE SECURITIES LLC, MML INVESTORS SERVICES LLC, G. R. PHELPS & CO. INC., JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY, SIGNATOR INVESTORS INC., EQUITY SERVICES INC..

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 22, 2002 - September 26, 2016

EAGLE STRATEGIES LLC

RIA

CRD#: 110826

WESTBROOK, ME

Past

September 19, 1996 - September 20, 2016

NYLIFE SECURITIES LLC

CRD#: 5167

WESTBROOK, ME

Past

March 1, 1996 - July 26, 1996

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

May 17, 1995 - March 1, 1996

G. R. PHELPS & CO., INC.

CRD#: 173

Past

February 25, 1994 - April 11, 1995

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

CRD#: 5181

BOSTON, MA

Past

February 25, 1994 - April 11, 1995

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

Past

October 8, 1991 - November 16, 1993

EQUITY SERVICES, INC.

CRD#: 265

MONTPELIER, VT

Past

January 2, 1976 - August 7, 1991

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

CRD#: 5181

BOSTON, MA

Past

January 2, 1976 - August 7, 1991

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

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".

EAGLE STRATEGIES LLC

EAGLE STRATEGIES CORP | EAGLE STRATEGIES LLC

CRD#: 110826 / SEC#: 801-32987

RIA

Registered Investment Advisory firm - (10/14/1988 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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

Series 63

Date: 2/3/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/20/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/8/2000

General Securities Representative Examination

General Industry/Product Exam

Series 1

Date: 12/31/1975

Registered Representative Examination

Current Firm

EAGLE STRATEGIES LLC

EAGLE STRATEGIES CORP | EAGLE STRATEGIES LLC

CRD#: 110826 / SEC#: 801-32987

RIA

Registered Investment Advisory firm - (10/14/1988 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

51 Madison Avenue 12th Floor, New York, NY 10010

Mailing Address

51 Madison Avenue Floor 3b, Room 0304, New York, NY 10010

Phone number

(888) 695-3245

Established

Firm type

Fiscal year end

# of Employees

2,804

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

APPENDIX 1 DISCLOSURE BROCHURE (11/11/2025)

EAGLE STRATEGIES DISCLOSURE BROCHURE (10/23/2025)

Regulatory assets under management

Total Number of Accounts	111,361
AUM (Assets Under Management)	$ 25,395,380,570

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/24/2025	Cover Page	Report
04/25/2024	Cover Page	Report
12/20/2023	Cover Page	Report

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

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

John P. Mosley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NYLIFE SECURITIES LLC

MML INVESTORS SERVICES, LLC

G. R. PHELPS & CO., INC.

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

SIGNATOR INVESTORS, INC.

EQUITY SERVICES, INC.

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

SIGNATOR INVESTORS, INC.

Primary Firm SEC Registration

EAGLE STRATEGIES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 2/3/1987

SIE

Date: 9/20/2016

Series 7

Date: 2/8/2000

Series 1

Date: 12/31/1975

Current Firm

EAGLE STRATEGIES LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

EAGLE STRATEGIES LLC

TRUST BUT VERIFY

Similar Advisors