Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
JEFFREY DAVID MOSCARET
CRD#: 1522650
IA
Investment Adviser
B
Broker
COMMONWEALTH FINANCIAL NETWORKCRD#: 8032 301 East Colorado Blvd.
Suite 500
PASADENA, CA 91101
Registration History
199019952000200520102015202020252 FIRMS1999 - Present (26 years)BAMERICAN EXPRESS FINANCIAL ADV... (CRD# 6363)1986 - 1999 (12 years)IAMOSCARET INVESTMENT ADVISORY (CRD# 132702)2009 - 2024 (14 years)
License(s)

State Registrations

B
California 2/9/1999
B
New Mexico 1/21/2014
IA
California 2/16/1999
B
Oregon 1/4/2000
B
Colorado 3/22/2022
B
Texas 2/5/1999
B
Idaho 11/28/2000
B
Utah 2/1/2022
B
Minnesota 7/22/1999
B
Virginia 9/9/2011
B
Missouri 7/20/2012
B
Washington 2/9/1999
B
Nevada 2/5/1999
B
Wisconsin 6/22/2023

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
COMMONWEALTH FINANCIAL NETWORK (CRD#:8032)
301 East Colorado Blvd. Suite 500, PASADENA, CA 91101
Monrovia, CA
Registered with this firm since 2/16/1999
B
COMMONWEALTH FINANCIAL NETWORK (CRD#:8032)
301 East Colorado Blvd. Suite 500, PASADENA, CA 91101
Monrovia, CA
Registered with this firm since 2/5/1999
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 05/01/2009 - 04/14/2024 MOSCARET INVESTMENT ADVISORY (CRD#:132702) PASADENA, CA
B
 07/28/1986 - 02/22/1999 AMERICAN EXPRESS FINANCIAL ADVISORS INC. (CRD#:6363) MINNEAPOLIS, MN
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.