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1300 Godward Street Ne Suite 5500, Minneapolis, MN 55413 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| LA | RA | APPROVED | 2018-03-09 |
| IL | RA | APPROVED | 2016-10-03 |
| TX | RA | APPROVED | 2016-10-03 |
Branch Locations
901 Warrenville Road Suite 100, Lisle, IL 60532 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Benson Financial | Lisle | IL | 02/1997 | Present |
| Osaic Wealth, Inc. | Lisle | IL | 09/1998 | Present |
| Moser & Heier Cpa, Inc | Lisle | IL | 11/2005 | Present |
| Moser & Heier Financial Solutions | Lisle | IL | 09/2008 | Present |
| Focus Financial | Lisle | IL | 10/2016 | Present |
1. MOSER & HEIER FINANCIAL SOLUTIONS POSITION: Other - Shareholder NATURE: Corporation - INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2006 ADDRESS: 901 Warrenville Rd #100, Lisle, Il 60532, Lisle IL 60532, United States DESCRIPTION: life, LTC, fixed annuity sales 2. FOCUS FINANCIAL NETWORK INC POSITION: Registered Investment Advisor NATURE: Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 50 SECURITIES TRADING HOURS: 140 START DATE: 01/01/2017 ADDRESS: 901 Warrenville RD #100, Lisle IL 60532, United States DESCRIPTION: Meet with clients to discuss financial needs, goals, objectives, conduct annual review, make recommendations for investment portfolios 3. POA POSITION: POA NATURE: POA for mother INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 10/21/2014 ADDRESS: 15 N Fremont St, Naperville IL 60540, United States DESCRIPTION: POA on my mother's banking, credit card, and IRA accounts 4. DAVID H MOSER LIVING TRUST DTD 5/25/06, DAVID & BARBARA MOSER TRUSTEE POSITION: Trustee NATURE: Individual INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 05/25/2006 ADDRESS: 15 N Fremont St, Naperville IL 60540, United States DESCRIPTION: Trustee with my husband on accounts titled in the name of his trust. Currently Bank account and homes 5. MOSER & HEIER CPAS INC POSITION: Other - Shareholder NATURE: Corporation - INVESTMENT RELATED: No NUMBER OF HOURS: 60 SECURITIES TRADING HOURS: 20 START DATE: 10/01/1997 ADDRESS: 901 Warrenville Rd #100, Lisle, IL 60532, Lisle IL 60532, United States DESCRIPTION: Tax services for corporations, partnerships, personal, estates, financial statement preparation, sales and payroll tax preparation, tax analysis and planning.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1998-10-14 |
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