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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nathaniel? Claim Your ProfileNathaniel Mosley is a financial advisor in the Dallas, Texas area. Nathaniel has been working in the securities industry for over 40 years and currently works for UBS Financial Services Inc. Nathaniel specializes in providing a wide range of financial services for individual and corporate clients, including financial planning, portfolio management and pension consulting. Prior to working with UBS Financial Services Inc., Nathaniel also worked with KIDDER, PEABODY & CO. INCORPORATED, SHEARSON LEHMAN HUTTON INC, E. F. HUTTON & COMPANY INC, HANIFEN, IMHOFF INC., and T. J. RANEY & SONS, INC.
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.
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.
See schedule d - miscellaneous
1
2
TX
01/28/1995 - Present
UBS Financial Services Inc. (DALLAS TX)
NY
03/08/1989 - 01/28/1995
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
NY
02/15/1988 - 03/01/1989
SHEARSON LEHMAN HUTTON INC. (NEW YORK NY)
NA
01/31/1983 - 02/15/1988
E. F. HUTTON & COMPANY INC
NA
07/06/1979 - 01/10/1983
HANIFEN, IMHOFF INC.
NA
05/11/1977 - 07/06/1979
T. J. RANEY & SONS, INC.
IA
Issued 12/08/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/18/1980
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/18/1980
Series 4 - Registered Options Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/02/1985
Series 3 - National Commodity Futures Examination
BC
Issued 11/05/1983
Series 5 - Interest Rate Options Examination
BC
Issued 12/16/1978
Series 7 - General Securities Representative Examination
BC
Issued 10/04/1977
Series 1 - Registered Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
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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