Susan S. Moseley

MOSELEY INVESTMENT MANAGEMENT

Bradention, FL 34205

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CRD#: 871967

Professional summary

Susan Shepard Moseley, CIMA®, who also goes by Susan Charity Moseley, Susan Charity Shepard, is a registered financial advisor currently at MOSELEY INVESTMENT MANAGEMENT, INC. located in Bradention, Florida.

Susan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1979. Susan has worked at 8 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 51 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Susan Charity Moseley | Susan Charity Shepard

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) - RIA

Click below to view Susan Shepard 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®

CIMA^®

Certified Investment Management Analyst

Experience

Current

November 12, 1999 - Present

MOSELEY INVESTMENT MANAGEMENT, INC.

Office #1: 1724 Manatee Avenue W, Bradention, FL 34205Office #2: 1630 Ringling Blvd, Sarasota, FL 34236

RIA

CRD#: 124152

Bradention, FL

Past

April 27, 2001 - January 7, 2015

OSAIC WEALTH, INC.

RIA

CRD#: 23131

BRADENTON, FL

Past

July 1, 1996 - January 7, 2015

OSAIC WEALTH, INC.

CRD#: 23131

BRADENTON, FL

Past

March 21, 1990 - July 8, 1996

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

Past

September 29, 1988 - April 2, 1990

BARNETT INVESTMENTS, INC.

CRD#: 14897

JACKSONVILLE, FL

Past

November 21, 1985 - September 26, 1988

MORGAN STANLEY DW INC.

CRD#: 7556

Past

June 9, 1983 - December 3, 1985

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

November 18, 1981 - September 27, 1983

HIGBEE SECURITIES, INC.

CRD#: 8154

Past

September 26, 1979 - August 6, 1981

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

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".

MOSELEY INVESTMENT MANAGEMENT, INC.

CRD#: 124152 / SEC#: 801-107305

RIA

Registered Investment Advisory firm - (3/7/2016 Approved)

Florida

Registered Investment Advisory firm - (3/9/2016 Terminated)

Missouri

Registered Investment Advisory firm - (11/11/2014 Terminated)

Texas

Registered Investment Advisory firm - (3/9/2016 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Florida
(11/12/1999)

IAR

Texas
(2/10/2015)

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: 7/20/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 1/7/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 9/21/1983

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 9/15/1979

General Securities Representative Examination

Principal/Supervisory Exam

Series 51

Date: 4/3/2008

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 12/28/1981

General Securities Principal Examination

Current Firm

MOSELEY INVESTMENT MANAGEMENT, INC.

CRD#: 124152 / SEC#: 801-107305

RIA

Registered Investment Advisory firm - (3/7/2016 Approved)

Florida

Registered Investment Advisory firm - (3/9/2016 Terminated)

Missouri

Registered Investment Advisory firm - (11/11/2014 Terminated)

Texas

Registered Investment Advisory firm - (3/9/2016 Terminated)

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Contact information

Main Address

1724 Manatee Avenue W, Bradention, FL 34205

Mailing Address

Phone number

(941) 745-2799

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2 (5/21/2025)

Regulatory assets under management

Total Number of Accounts	898
AUM (Assets Under Management)	$ 410,370,492

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/21/2024	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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

Susan S. Moseley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Susan Shepard Moseley's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

BARNETT INVESTMENTS, INC.

MORGAN STANLEY DW INC.

E. F. HUTTON & COMPANY INC

HIGBEE SECURITIES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

Primary Firm SEC Registration

MOSELEY INVESTMENT MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/20/1983

SIE

Date: 1/7/2015

Series 3

Date: 9/21/1983

Series 7

Date: 9/15/1979

Series 51

Date: 4/3/2008

Series 24

Date: 12/28/1981

Current Firm

MOSELEY INVESTMENT MANAGEMENT, INC.

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

MOSELEY INVESTMENT MANAGEMENT, INC.

TRUST BUT VERIFY

Contact information

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