Frederick S. Moseley
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Frederick Strong Moseley IV, who also goes by Frederick Strong Moseley, was a registered financial advisor .
Frederick is a previously registered financial advisor and started their career in finance in 1977. Frederick had worked at 6 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 27, 2013 - February 27, 2014
LLM CAPITAL PARTNERS LLC
August 28, 1990 - October 10, 2003
TRIUMPH CORPORATE FINANCE GROUP INC.
June 14, 1985 - March 14, 1990
DREXEL BURNHAM LAMBERT INCORPORATED
November 5, 1981 - April 8, 1985
SBC WARBURG DILLON READ INC.
September 26, 1978 - December 20, 1981
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 1, 1977 - September 26, 1978
WHITE, WELD & CO. INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
LLM CAPITAL PARTNERS LLC
CRD#: 163107 / SEC#: 802-112926
Contact information
Exempt reporting advisers
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| SEC | ERA - Withdrawn | 1/30/2024 |
| Massachusetts | ERA - Active | 3/23/2018 |
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.
