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Detailed Report
DAVID ERIC MOSES
DAVID MOSES
CRD#: 6435208
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Investment Adviser
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Previous Broker
STATERA FINANCIAL, LLCCRD#: 304957 713 EAST STREET
WALPOLE, MA 02081
Registration History
2015201620172018201920202021202220232024202520262 FIRMS2016 - 2019 (3 years)IASTATERA FINANCIAL, LLC (CRD# 304957)2019 - Present (5 years)BMML INVESTORS SERVICES, LLC (CRD# 10409)2015 - 2015 (<1 year)
License(s)

State Registrations

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Massachusetts 12/10/2019
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Rhode Island 6/22/2020
Current Registration(s)
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STATERA FINANCIAL, LLC (CRD#:304957)
713 EAST STREET, WALPOLE, MA 02081
Registered with this firm since 12/10/2019
Previous Registration(s)
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 07/05/2016 - 10/23/2019 ON INVESTMENT MANAGEMENT CO (CRD#:105662) Walpole, MA
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 02/03/2016 - 10/23/2019 THE O.N. EQUITY SALES COMPANY (CRD#:2936) Walpole, MA
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 02/17/2015 - 12/07/2015 MML INVESTORS SERVICES, LLC (CRD#:10409) FOXBORO, MA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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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.
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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.