Kimberly Ann Moseley

Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars
• PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

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

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 02/2010 → 03/2021
  Morgan Stanley
  Orinda, CA
• 03/2022 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Walnut Creek, CA
• 04/2021 → 10/2021
  Mission Creek Capital Partners, Inc.
  San Francisco, CA
• 11/2021 → 03/2022
  Unemployed
  Vacaville, CA

Previous Registrations

• 2010-03-02 → 2021-04-06
  Morgan Stanley
  Berkeley, CA
  Santa Rosa, CA
  Napa, CA
  Oakland, CA
  Orinda, CA
  Walnut Creek, CA
  San Francisco, CA
• 2008-01-22 → 2010-02-17
  U.S. Bancorp Investments, Inc.
  Sacramento, CA
  Woodland, CA
  Sacramento, CA
• 2007-03-01 → 2007-10-26
  A. G. Edwards & Sons, Inc.
  Sacramento, CA
  Fairfield, CA
• 1998-07-30 → 2007-03-01
  Morgan Stanley Dw Inc.
  Sacramento, CA
  Auburn, CA

Exams

• S63 Uniform Securities Agent State Law Examination
  1997-05-09
• S65 Uniform Investment Adviser Law Examination
  1997-05-09

Other Names

• Kimberly Ann Bush
• Kimberly Ann Rodriguez