Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Janet? Claim Your ProfileJanet D. Moses is a financial advisor with over 25 years of experience in the industry. Janet is currently registered with Raymond James & Associates, Inc., and is licensed to provide investment advice and securities brokerage services in Florida and Texas. Prior to joining Raymond James, Janet worked for other prominent financial firms including Wells Fargo Clearing Services, LLC, Chase Investment Services Corp., Morgan Stanley Smith Barney, and Citigroup Global Markets Inc. Janet holds a variety of licenses and certifications including Series 7, 9, 10, 23, 24, 3, 31, 63, and 65. Janet specializes in providing financial planning, investment management, and other financial services to individuals, corporations, and institutions.
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
FL
04/25/2022 - Present
Raymond James & Associates, Inc. (CORAL GABLES FL)
NY
09/11/2012 - 05/04/2022
WELLS FARGO CLEARING SERVICES, LLC (GARDEN CITY NY)
NY
03/29/2010 - 07/25/2012
CHASE INVESTMENT SERVICES CORP. (NEW YORK NY)
NY
06/01/2009 - 04/14/2010
MORGAN STANLEY SMITH BARNEY (NEW YORK NY)
NY
08/07/1997 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
IA
Issued 09/11/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/15/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 24 - General Securities Principal Examination
BC
Issued 03/29/2011
Series 23 - General Securities Principal Sales Supervisor
BC
Issued 09/07/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/30/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/28/2015
Series 3 - National Commodity Futures Examination
BC
Issued 02/19/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 08/06/1997
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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