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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brendan? Claim Your ProfileBrendan Thompson Moses is a financial advisor at Raymond James & Associates, Inc. Brendan has been in the financial industry since January 9, 2010, and has extensive experience in providing portfolio management and financial planning services to a variety of clients. Brendan holds the Series 7, Series 55, Series 63, Series 57TO, and SIE licenses. Brendan is registered with the following states: California, Connecticut, Florida, Illinois, Kansas, Massachusetts, Minnesota, Missouri, New Jersey, New York, Pennsylvania, Texas, and Vermont.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Please see note in schedule d - miscellaneous
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
MA
05/01/2013 - Present
Raymond James & Associates, Inc. (BOSTON MA)
CT
07/02/2012 - 04/12/2013
KNIGHT CAPITAL AMERICAS LLC (GREENWICH CT)
NJ
12/23/2009 - 07/02/2012
KNIGHT CAPITAL AMERICAS, L.P. (JERSEY CITY NJ)
BC
Issued 05/18/2013
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/15/2010
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 12/22/2009
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
I
Investors' Exchange LLC
M
MEMX LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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