Mike Julian David Mosher

270 Park Avenue, New York, NY 10017 • United States

Current Registrations

Authority	Category	Status	Date
AZ	RA	APPROVED	2025-09-23
TX	RA	APPROVED	2025-09-22

Branch Locations

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

Organization	City	State	From	To
Charles Schwab & Co., Inc.	Phoenix	AZ	07/2019	10/2021
Captioncall Inc.	Scottsdale	AZ	06/2015	07/2018
Yelp Inc.	Scottsdale	AZ	07/2018	07/2019
Robinhood Financial, Llc	Tempe	AZ	11/2021	08/2022
Robinhood	Tempe	AZ	11/2021	09/2022
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Chandler	AZ	09/2022	09/2025
Arizona State University	Mesa	AZ	08/2014	05/2018
Bank Of America N.A.	Chandler	AZ	09/2022	09/2025
J.P. Morgan Securities Llc	Tempe	AZ	09/2025	Present
Jpmorgan Chase Bank, N.A.	Tempe	AZ	09/2025	Present

07/2019 → 10/2021

Charles Schwab & Co., Inc.

Phoenix, AZ
06/2015 → 07/2018

Captioncall Inc.

Scottsdale, AZ
07/2018 → 07/2019

Yelp Inc.

Scottsdale, AZ
11/2021 → 08/2022

Robinhood Financial, Llc

Tempe, AZ
11/2021 → 09/2022

Robinhood

Tempe, AZ
09/2022 → 09/2025

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Chandler, AZ
08/2014 → 05/2018

Arizona State University

Mesa, AZ
09/2022 → 09/2025

Bank Of America N.A.

Chandler, AZ
09/2025 → Present

J.P. Morgan Securities Llc

Tempe, AZ
09/2025 → Present

Jpmorgan Chase Bank, N.A.

Tempe, AZ

Code	Exam	Date
S66	Uniform Combined State Law Examination	2022-10-28
S63	Uniform Securities Agent State Law Examination	2020-01-22