Daniel Craig Mozer

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2018-08-03
NM	RA	APPROVED	2017-07-14
CA	RA	APPROVED	2017-05-22
CO	RA	APPROVED	2017-05-22

TX RA
APPROVED_RES

Since 2018-08-03
NM RA
APPROVED

Since 2017-07-14
CA RA
APPROVED

Since 2017-05-22
CO RA
APPROVED

Since 2017-05-22

Branch Locations

111 S. Tejon, Suite 103, Colorado Springs, CO 80903 • United States

7222 E Layton Avenue, Denver, CO 80237 • United States

200 West City Center Drive, Pueblo, CO 81003 • United States

361 W Us Highway 24, Woodland Park, CO 80866 • United States

1250 W Us Highway 50, Pueblo, CO 81008 • United States

4040 W Northern Ave, Pueblo, CO 81005 • United States

2155 Resort Drive - Ste 300, Steamboat Springs, CO 80487 • United States

1201 Escalante Dr., Durango, CO 81301 • United States

350 W. Montezuma Ave, Cortez, CO 81321 • United States

2000 E. 20Th St., Farmington, NM 87401 • United States

890 Camino Del Rio, Durango, CO 81301 • United States

2394 Patterson Rd., Grand Junction, CO 81505 • United States

Disclosures

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

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Raymond James Financial Services, Inc.	Colorado Springs	CO	11/2012	05/2017
Raymond James Financial Services Advisors Inc.	Colorado Springs	CO	11/2012	05/2017
Bank Of Colorado	Colorado Springs	CO	11/2012	05/2017
Lpl Financial, Llc	Colorado Springs	CO	05/2017	Present
Zions First National Bank/Vectra Bank Colorado	Colorado Springs	CO	05/2017	Present

11/2012 → 05/2017

Raymond James Financial Services, Inc.

Colorado Springs, CO
11/2012 → 05/2017

Raymond James Financial Services Advisors Inc.

Colorado Springs, CO
11/2012 → 05/2017

Bank Of Colorado

Colorado Springs, CO
05/2017 → Present

Lpl Financial, Llc

Colorado Springs, CO
05/2017 → Present

Zions First National Bank/Vectra Bank Colorado

Colorado Springs, CO

Previous Registrations

2012-11-08 → 2017-05-17

Raymond James Financial Services Advisors, Inc

Colorado Springs, CO
2011-02-18 → 2012-10-22

Sorrento Pacific Financial, Llc

San Diego, CA

Napa, CA
2010-05-11 → 2010-12-09

Edward Jones

Vacaville, CA

Vacaville, CA

St Louis, MO

Other Businesses

1) 05/05/2017 - Vectra Wealth Advisors - DBA for LPL Business (entity for LPL business) - inv rel - at reported business location(s). 2) 7/17/2017 - ZB, N.A., DBA Wealth & Fiduciary Services - Investment Related - At Reported Business Location(s) - Financial Institution Duty - Relationship Manager - Started 06/27/2017 - 5 Hours Per Month During Securities Trading.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2010-05-07

S66 Uniform Combined State Law Examination

2010-05-07

Other Names

Daniel Mozer

View on SEC IAPD