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2401 E. Katella Avenue Suite 270, Anaheim, CA 92806 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2023-07-26 |
| TX | RA | APPROVED | 2022-05-12 |
| CA | RA | APPROVED | 2022-04-29 |
| LA | RA | APPROVED | 2022-04-29 |
Branch Locations
2401 E. Katella Avenue Suite 270, Anaheim, CA 92806 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Mosley Insurance And Financial Services, Inc. | Placentia | CA | 06/1995 | Present |
| Precision Capital Management | Coppell | CA | 04/2015 | 09/2016 |
| Ae Wealth Management, Llc | Anaheim | CA | 04/2016 | Present |
| Mosley Wealth Management, Inc. | Anaheim | CA | 02/2022 | Present |
1. Mosley Insurance and Financial Services Inc.; not investment related; 2401 E. Katella Ave., Ste 270, Anaheim, CA; Owner and Insurance agent; 06/1995 - Present; Approximately 160 hours a month devoted, with approximately 100 hours during securities trading hours; Life insurance and annuity sales. Not investment related. 2. AE Wealth Management, LLC; 2401 E. Katella Ave., Ste 270, Anaheim, CA; Investment-Related; Investment Adviser Representative; 04/2016 - present; 40-50 hrs devoted per month, all during regular securities trading hours; I provide investment management/advice and financial planning services. 3. Mt. San Antonio College; 09/2015 - Present; 1100 N Grand Ave., Walnut, CA 91789; Non investment-related; Instructor; Less than 10 hours per month, all classes are taught at night or on weekends so no time devoted during trading hours; I teach a financial planning class through the community education division of the school 2-4 times per year. 4.Mr. Mosley is also associated with Mosley Legacy Planning, LLC, an affiliate of Mosley Wealth Management, Inc. This is a referral partner for the purpose of referring clients to third-party estate planning service providers, including Wealth.com for wills, trusts, and other estate planning solutions.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2013-03-21 |
| S63 | Uniform Securities Agent State Law Examination | 1995-06-13 |
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