Tom Mosley

AE Wealth Management, LLC

2401 E Katella Ave Suite 270 Anaheim, CA 92806
14726 Ramona Avenue Suite 108 Chino, CA

Anaheim, CA 92806

714-421-4288

About AE Wealth Management, LLC

At Mosley Insurance and Financial Services, our sole focus is YOU.

Serving retirees and pre-retirees in Southern California, Mosley Financial Services has experience in retirement income planning and helping clients understand Medicare options and eligibility.
Our firm offers the following financial products and services: retirement income strategies, wealth accumulation strategies, asset protection, annuities, life insurance, tax reduction strategies, long-term care planning, and IRA and 401(k) rollovers.

General Information

CRD#

2622714

Firm CRD#

282580

Insurance License#

CA 0B61811

States Licensed in

CA, TX, MI, TN

Years of Experience in Financial Services

Number of Years with Current Firm

I work with the following types of clients

Non-Profit Organizations, Individual Investors, Businesses

Advisory Services Provided

Wealth Management, 401K Rollovers, Portfolio Management, Financial Advice & Consulting, Annuities, Retirement Planning

Services

Investment Types

Annuities, Mutual Funds, Bonds, Stocks, Insurance, Exchange Traded Funds (ETFs), Socially Responsible Investments (SRI)

I can meet clients in the following ways

Via Phone, At my office, Video Conference

Compliance

Investment Advisor Representative

Yes

I am an acknowledged fiduciary

Yes

Compliance Disclosures in Last 5 years

I have a clean record

Criminal Disclosures in Last 5 years

I have a clean record

Qualifications & Membership

Securities Licenses

Series 63, Series 65

Insurance and Annuity Licenses

Annuity, Disability, Life, Variable Life, Long Term Care, Variable Annuity, HMO

Firm Information

Advisor's Number of Clients

300

Advisor's Number of Managed Clients

300

Advisor's Number of Planning Clients

260

Assets Managed by Advisor

$115,000,000

Compensation and Fees

Fee Structure

Fee-Based

Compensation Methods

Commissions

Fee % Based on Assets

Varies

Additional Details on Charges

Fees and commissions based on the client's needs in putting together a plan they understand and want

Minimum Fee Charged for Managed Accounts

N/A

Education

ThM - Theology

Dallas Theological Seminary
9/1986 - 5/1990

MBA - Finance

Pepperdine University
01/1995 - 12/1998

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