Derrick Mosley, financial advisor Florence AL
83 score

Derrick Mosley

CRD Number: 4501939
Current Firm: Raymond James & Associates, Inc.

Derrick Mosley (CRD# 4501939) is an Investment Advisor Representative working at Raymond James & Associates, Inc. in Florence, AL and has over 12 years of experience in the finance industry.

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Company Name Location Dates Years
Raymond James & Associates Florence, AL Oct 2015 - Current 1
Suntrust Investment Services, Inc. Atlanta, GA Nov 2013 - Oct 2015 1
Wells Fargo Advisors LLC Birmingham, AL May 2009 - Nov 2013 4
Compass Brokerage, Inc. Muscle Shoals, AL Mar 2008 - May 2009 1
Morgan Keegan & Company,inc Florence, AL Aug 2007 - Mar 2008 < 1
Compass Brokerage, Inc. Killem, AL Oct 2006 - Aug 2007 < 1
Amsouth Investment Services, Inc. Decatur, AL May 2005 - Oct 2006 1
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination May 2004
S66 NASAA Uniform Combined State Law Examination Dec 2009
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Derrick D. Mosley
Phone Number: 727-567-1000
Registered State(s):
  • AL
By the Numbers
  • Total Assets Under Management
    91,401
    MILLIONS
  • Total Number of Accounts
    317,837
    ACCOUNTS
  • Average Account Value
    $287,573
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Other
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
83

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