Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Daniel ray Moses is a financial advisor currently registered with Empower Financial Services, Inc. in Pasadena, California. James holds the Series 6, 7 and 63 licenses. James's previous employment experience includes positions with AIG CAPITAL SERVICES, INC., METLIFE SECURITIES INC., AXA ADVISORS, LLC and SUNAMERICA CAPITAL SERVICES, INC. James has been in the financial services industry since 2008.
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.
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.
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2
CA
08/20/2021 - Present
Empower Financial Services, Inc. (Pasadena CA)
CA
06/18/2015 - 04/28/2021
AIG CAPITAL SERVICES, INC. (WOODLAND HILLS CA)
CA
02/07/2012 - 02/09/2015
METLIFE SECURITIES INC. (SAN DIEGO CA)
CA
03/04/2009 - 01/26/2012
AXA ADVISORS, LLC (WOODLAND HILLS CA)
CA
10/15/2007 - 02/26/2009
SUNAMERICA CAPITAL SERVICES, INC. (WOODLAND HILLS CA)
BC
Issued 11/09/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/06/2013
Series 7 - General Securities Representative Examination
BC
Issued 10/12/2007
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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