Thomas Mosel, financial advisor Boston MA
93 score

Thomas Mosel

CRD Number: 1266057
Current Firm: Windhaven Investment Management, Inc.

Thomas Mosel (CRD# 1266057) is an Investment Advisor Representative working at Windhaven Investment Management, Inc. in Boston, MA and has over 25 years of experience in the finance industry.

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Company Name Location Dates Years
Windhaven Investment Management Boston, MA Nov 2011 - Current 5
Taurus Capital Funding, LLC Boston, MA Nov 2010 - Nov 2011 1
Aquidneck Capital Charlestown, MA Jan 2009 - Nov 2011 2
Clearbridge Advisors, LLC New York, NY Mar 2006 - Dec 2008 2
Legg Mason Investor Services, LLC Baltimore, MD Dec 2005 - Dec 2008 3
Cam North American, LLC Charlestown, MA Dec 2005 - Dec 2008 3
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination May 1991
S65 NASAA Investment Advisors Law Examination Jun 1994
S66 NASAA Uniform Combined State Law Examination Nov 2004
Contact Info for Thomas S. Mosel
Phone Number: (617) 960-5300
Registered State(s):
  • MA
By the Numbers
  • Total Assets Under Management
    11,944
    MILLIONS
  • Total Number of Accounts
    41,966
    ACCOUNTS
  • Average Account Value
    $284,620
Compensation Options
  • A percentage of assets under your management
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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