Thomas Gartland Moffat

Employer firm

Osaic Wealth, Inc. CRD 23131

$235B regulatory AUM 56,660 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

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

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

Current Employers

Employment History

• 12/2002 → 01/2025
  Lincoln Financial Advisors
  Westlake Village, CA
• 01/2025 → Present
  Osaic Wealth, Inc.
  Westlake Village, CA

Previous Registrations

• 2003-04-16 → 2025-01-24
  Osaic Fa, Inc.
  Westlake Village, CA
  Westlake Village, CA

Other Businesses

1) THOMAS G. MOFFAT POSITION: Agent NATURE: Insurance Sales INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 1 START DATE: 12/01/2002 ADDRESS: 31111 Agoura Road, Suite 200, Westlake Village CA 91361, United States DESCRIPTION: Life Insurance Sales 2) THOMAS G. MOFFAT TRUSTEE MOFFAT FAMILY BROTHERS TRUST POSITION: Trustee NATURE: My brother, James K. Moffat, and I are both trustees for four separate family trusts that my mother established for estate planning purposes. My brother handles any day to day activities. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 12/25/2009 ADDRESS: 470 Madeline Drive, Pasadena CA 91105, United States DESCRIPTION: I assist my brother in the review of the bank statements and income report from the property management firm.

Exams

• S66 Uniform Combined State Law Examination
  2003-04-01
• S63 Uniform Securities Agent State Law Examination
  1997-01-06