Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Moises? Claim Your ProfileMoises Humberto Ospina is a financial advisor registered with Avantax Advisory Services and Avantax Planning Partners, Inc. Moises is a licensed insurance agent and financial planning consultant who provides financial advice and insurance products as part of a holistic financial plan. Moises has been in the financial services industry since 2004 and has a wide range of experience in financial planning, investment management, and insurance. Moises has the Series 4, 7, 24, 53, and 66 securities licenses and is registered in multiple states. Moises's areas of expertise include retirement planning, college savings, estate planning, and insurance.
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.
Solicitor referral services to third-party investment managers; participant enrollment meetings
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.
A percentage of the total value of assets under management is charged.
Solicitor fees
1
2
TX
10/25/2019 - Present
Avantax Advisory Services (DALLAS TX)
TX
02/28/2012 - 10/25/2019
1ST GLOBAL CAPITAL CORP. (DALLAS TX)
IL
05/02/2009 - 02/01/2012
CHASE INVESTMENT SERVICES CORP. (CHICAGO IL)
CA
09/03/2004 - 05/02/2009
WAMU INVESTMENTS, INC. (IRVINE CA)
BOTH
Issued 09/14/2012
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/14/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/30/2009
Series 4 - Registered Options Principal Examination
BC
Issued 03/06/2009
Series 53 - Municipal Securities Principal Examination
BC
Issued 12/03/2008
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/02/2004
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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