Richard Michael Moseley

Employer firm

Princeton Global Asset Management LLC CRD 146644

$921M regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Pension consulting
• 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

• 04/2010 → Present
  Alpha Risk Management, Llc
  Princeton, NJ
• 11/2019 → Present
  Princeton Global Asset Management, Llc
  Princeton, NJ

Previous Registrations

• 2013-09-20 → 2019-12-31
  Alpha Risk Management, Llc
  Princeton, NJ
• 2009-01-21 → 2010-03-12
  Barclays Capital Inc.
  New York, NY
• 2008-02-14 → 2008-10-15
  Lehman Brothers Inc.
  New York, NY
  New York, NY

Other Businesses

Advisor Engine 60 Hudson Street - 18th Floor New York, NY 10013 Start date 11/15/14 Quarterly board meetings in NYC (4 x 1 day) Weekly conference calls as required...less than 1 hour a week on average.

Exams

• S65 Uniform Investment Adviser Law Examination
  2013-09-19
• S66 Uniform Combined State Law Examination
  2008-01-02
• S63 Uniform Securities Agent State Law Examination
  2004-12-09