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James Patrick Moseley

Equity Services, Inc.

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About James Patrick Moseley

James Patrick Moseley is a financial advisor who has been in the industry since 2014. James is registered with Equity Services, Inc. and holds the Series 6, Series 63, and SIE licenses. James has experience in providing financial planning, pension consulting, and portfolio management services to individuals and businesses. James has also worked with Northwestern Mutual Investment Services, LLC. in the past.

Firm Information

James Moseley is currently registered with Equity Services, Inc.. Equity Services, Inc. is a Vermont-based corporation founded in 1968. The firm provides financial planning, pension consulting, and educational seminars. They also offer portfolio management services for individuals and select other advisors. Equity Services, Inc. manages over $2 billion in assets for a variety of clients, including individuals, high-net-worth individuals, charitable organizations, corporations, and pension plans. The firm is registered with the SEC and in all 50 states.
Equity Services, Inc.

ONE NATIONAL LIFE DRIVE

MONTPELIER, VT 05604

$2.12B

Assets Under Management

204

Total Clients

615

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

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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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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James Moseley’s Registration & Firm History

VT

07/08/2015 - Present

Equity Services, Inc. (MONTPELIER VT)

TX

04/10/2014 - 12/23/2014

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (DALLAS TX)

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Licenses & Designations

BC

Issued 05/20/2014

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/10/2014

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for James Patrick Moseley.
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