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EM

Edward L. Moseley

PHX FINANCIAL
Fort Lauderdale, FL 33301
Some features on this profile are disabled
CRD#: 833771
EM

Professional summary

Edward Lavender Moseley, who also goes by Ed Moseley, is a registered financial professional currently at PHX FINANCIAL, INC. located in Fort Lauderdale, Florida.

Edward is registered as a RR (Registered Representative) and started their career in finance in 1977. Edward has worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 5 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ed Moseley

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 Edward Lavender Moseley'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

November 23, 2021 - Present

PHX FINANCIAL, INC.

Office #1: 1 East Broward Boulevard, Fort Lauderdale, FL 33301
BD
CRD#: 144403
Fort Lauderdale, FL
Past

April 4, 2012 - December 31, 2020

LINCOLN DOUGLAS INVESTMENTS, LLC

BD
CRD#: 155578
MT. VERNON, OH
Past

August 27, 2010 - April 5, 2012

TERRANOVA CAPITAL EQUITIES, INC

BD
CRD#: 45097
NEW YORK, NY
Past

March 1, 2007 - March 23, 2010

B. RILEY WEALTH MANAGEMENT

BD
CRD#: 2543
ATLANTA, GA
Past

March 8, 1995 - March 1, 2007

CAPITAL SECURITIES OF AMERICA, INC.

BD
CRD#: 36405
HARTVILLE, OH
Past

February 26, 1993 - February 23, 1995

NORTHRIDGE CAPITAL CORPORATION

BD
CRD#: 16467
MELVILLE, NY
Past

March 11, 1991 - November 16, 1992

ARGENT SECURITIES, INC.

BD
CRD#: 15297
ATLANTA, GA
Past

November 17, 1989 - February 14, 1991

GLOBAL AMERICA INCORPORATED

BD
CRD#: 23000
Past

April 24, 1986 - November 20, 1989

H.A. KENNING INVESTMENTS,INC.

BD
CRD#: 14923
Past

June 19, 1984 - May 16, 1986

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
Past

June 21, 1983 - June 12, 1984

MORGAN KEEGAN & COMPANY, LLC

BD
CRD#: 4161
Past

May 12, 1980 - June 2, 1983

LEHMAN BROTHERS INC.

BD
CRD#: 7506
Past

March 1, 1977 - July 8, 1980

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059

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
California
(10/29/2024)
RR
Florida
(11/24/2021)
RR
Georgia
(11/24/2021)
RR
Indiana
(9/29/2025)
RR
Kansas
(10/20/2022)
RR
Mississippi
(12/3/2021)
RR
New Jersey
(7/23/2025)
RR
New York
(9/6/2023)
RR
North Carolina
(1/12/2024)
RR
Ohio
(8/11/2025)
RR
South Carolina
(2/5/2024)
RR
Texas
(12/3/2021)

Exams

State Security Law Exam
IAR
Series 65
Date: 3/23/1992
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/13/1979
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 5
Date: 10/17/1981
Interest Rate Options Examination
General Industry/Product Exam
RR
Series 7
Date: 2/19/1977
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

PF
PHX FINANCIAL, INC.
BLACKWALL CAPITAL MARKETS, INC. | PHX FINANCIAL, INC. | PHOENIX FINANCIAL SERVICES | GRANDVIEW CAPITAL, INC.

CRD#: 144403 / SEC#: , 8-67653

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
100 Wall Street Floor 10, New York, NY 10005
Mailing Address
100 Wall Street Floor 10, New York, NY 10005
Phone number
(212) 776-4187
Established
Florida since 12/27/2006
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 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#
PHOENIX FINANCIAL CONSOLIDATED HOLDINGS, LPPARENT OF BROKER DEALER
CHEN, KEVINCEO4871316
GILMAN, ROBERT CRAIGFINOP - PFO1738412
MONTANA, JOSEPH RYANROSFP, MSRB PRINCIPAL5640919
OTOYA, DANIEL ORLANDOCHIEF COMPLIANCE OFFICER2208241

Disclosures

Regulatory Event4
Arbitration2

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

PHX FINANCIAL, INC.

CRD#: 144403Fort Lauderdale, FL 33301

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