Robert J. Moses
Robert Moses has extensive experience in the financial services industry that enables him to provide counsel and consulting related to the legal, regulatory, compliance and product due diligence areas of the financial services and investment businesses.
Since January 1, 2015 Rob has been in private practice serving various participants in the financial services arena, including registered investment advisors, broker-dealers, individual financial professionals, advisors to private funds and investors.
Mr. Moses served for eighteen years as General Counsel, Sr. Vice President and member of the Board of Directors of First Allied Securities, Inc., an independent broker-dealer and registered investment advisor serving a primarily retail client base through approximately 1,000 independent contractor financial services professionals. Early on in his tenure with First Allied, Rob was responsible for building and managing the firm’s compliance and supervision departments and spent a great deal of time developing and implementing written policies and procedures. Rob’s in-house role brought him in-depth experience with numerous regulatory and enforcement matters before the SEC, FINRA and state securities, investment advisory and insurance regulators, as well as hundreds of customer and industry claims resolved through the complaint, arbitration and mediation processes. Mr. Moses was also responsible for product due diligence efforts through which investment products (alternative investments, mutual funds and annuities) and financial services professionals and firms (third party money managers and other service providers), were reviewed and considered for approval on the firm’s platform. Through this product due diligence work Mr. Moses gained experience with the review and retail offering of products and services available from full-service investment firms. Having been involved in-depth with registrations, mergers and acquisitions within the industry for over 20 years, Rob has developed an informed sense of industry standards and best practices in the registration, regulatory, compliance and supervisory areas of the financial services business.
Benjamin N. Cardozo School of Law, J.D.
Long Island University, B.S.
State of Connecticut
State of New York
- Series 7 – General Securities Representative
- Series 24 – General Securities Principal
- Series 63 – Uniform State Securities Agent
- Investment Adviser Representative