Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Philip? Claim Your ProfilePhilip Moston is an investment advisor representative with Osaic Wealth, Inc. based in Westlake Village, California. Philip has been in the securities industry since 2003. He is a registered investment advisor in California and holds licenses for Series 3, 7, 24, 55, 63, 65, and 66. Philip has experience with various firms including FSC Securities Corporation, Wells Fargo Clearing Services, LLC, U.S. Bancorp Investments, Inc., Citigroup Global Markets Inc., J.P. Morgan Securities LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, and UBS Securities LLC. Philip specializes in financial planning, portfolio management for individuals and businesses, and pension consulting.
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.
A percentage of the total value of assets under management is charged.
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2
CA
11/03/2023 - Present
Osaic Wealth, Inc. (WESTLAKE VILLAGE CA)
CA
01/12/2023 - 11/03/2023
FSC SECURITIES CORPORATION (WESTLAKE VILLAGE CA)
CA
05/14/2020 - 07/06/2022
WELLS FARGO CLEARING SERVICES, LLC (WOODLAND HILLS CA)
CA
09/11/2018 - 03/27/2020
U.S. BANCORP INVESTMENTS, INC. (BEVERLY HILLS CA)
CA
05/02/2017 - 09/26/2018
CITIGROUP GLOBAL MARKETS INC. (AGOURA HILLS CA)
CA
02/21/2013 - 04/26/2017
J.P. MORGAN SECURITIES LLC (AGOURA HILLS CA)
CA
06/08/2012 - 01/02/2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (WESTLAKE VILLAGE CA)
NY
10/02/2006 - 03/12/2008
UBS SECURITIES LLC (NEW YORK NY)
NY
07/22/2003 - 10/06/2006
ABN AMRO INCORPORATED (NEW YORK NY)
NY
10/12/2001 - 06/10/2002
A.B. WATLEY, INC. (NEW YORK NY)
NY
03/13/2000 - 10/12/2001
ON-SITE TRADING, INC. (GREAT NECK NY)
NE
08/20/1998 - 03/07/2000
TD WATERHOUSE INVESTOR SERVICES, INC. (OMAHA NE)
NY
05/22/1998 - 07/30/1998
TRADEX BROKERAGE SERVICE, INC. (NEW YORK NY)
NY
05/12/1997 - 02/20/1998
GAINES, BERLAND INC. (BETHPAGE NY)
IA
Issued 09/04/2012
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 08/03/2012
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/02/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/10/2001
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/16/2003
Series 3 - National Commodity Futures Examination
BC
Issued 10/05/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 05/08/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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