Brian Ashley Moseley

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
MS	RA	APPROVED	2018-07-31

MS RA
APPROVED

Since 2018-07-31

Branch Locations

Madison, MS • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Insurance Associates Of Magee, Inc	Magee	MS	08/2007	07/2018
Cetera Advisors Llc	El Segundo	CA	01/2013	07/2018
Lpl Financial, Llc	Madison	MS	07/2018	Present

08/2007 → 07/2018

Insurance Associates Of Magee, Inc

Magee, MS
01/2013 → 07/2018

Cetera Advisors Llc

El Segundo, CA
07/2018 → Present

Lpl Financial, Llc

Madison, MS

Previous Registrations

2008-10-31 → 2018-08-02

Cetera Advisors Llc

Houston, TX

Madison, MS

Other Businesses

1. 7/31/2018 - Moseley Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - 120 Hours Per Month/7 Hours During Securities Trading - Time Spent 95%. 2. 7/31/2018 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Started 1/1/2010 - 4 Hours Per Month/1 Hour During Securities Trading - Time Spent 2% - Fixed Insurance.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2008-10-30
S66	Uniform Combined State Law Examination	2002-12-18

S65 Uniform Investment Adviser Law Examination

2008-10-30
S66 Uniform Combined State Law Examination

2002-12-18

View on SEC IAPD