Profile
Mr. Moses is Senior Managing Director and General Counsel for First Allied Securities and General Counsel for the Advanced Equities Financial Corp.
Independent Brokerage Group.
He has been with First Allied since it was founded in 1994.
During the period in which First Allied was owned by Wells Fargo & Company, he served as a member of the Wells Fargo Law Department, and as General Counsel to Wells Fargo's Financial Consultant Advisory Group, with responsibility for that division's independent contractor brokerage and advisory firms, as well as its clearing business.
Before joining First Allied, Mr. Moses was Associate General Counsel with NYSE member firm Josephthal & Co., Inc.
Mr. Moses received his Bachelor of Science degree in business marketing from Long Island University and earned his law degree from Benjamin N.
Cardozo School of Law.
He is a member of the bar in California, Connecticut and New York.
Mr. Moses is a member of the Securities Industry and Financial Markets Association - Legal and Compliance Division.
Former positions of Rob Jay Moses
| Companies | Position | End |
|---|---|---|
First Allied Securities, Inc.
 First Allied Securities, Inc. Investment Banks/BrokersFinance Founded in 1993, First Allied Securities, Inc. is an independent, SEC-registered broker/dealer headquartered in San Diego, California. The firm is a member of FINRA, the NASD and the SIPC. First Allied Securities Inc. was previously a subsidiary of Advanced Equities Financial Corp. In April 2006, Advanced Equities Financial Corp. acquired First Financial Planners and merged it with First Allied Securities. In 2008, the firm acquired First Montauk Securities Corp. from First Montauk Financial Corp. In 2011, Lovell Minnick Partners LLC and the management team of First Allied Advisory Services acquired the firm from Advanced Equities Financial Corp. First Allied Securities is affiliated with First Allied Advisory Services, Inc., a registered investment advisor. The firm provides a full array of trading and execution services for their clients. They do not provide any internal research. | General Counsel | 2014-11-30 |
| Josephthal & Co (Broker) | Corporate Officer/Principal | - |
| WELLS FARGO & COMPANY | Corporate Officer/Principal | - |
Training of Rob Jay Moses
| Long Island University | Undergraduate Degree |
| Yeshiva University | Graduate Degree |
Experiences
Positions held
Connections
1st degree connections
1st degree companies
Male
Female
Members of the board
Executives
Linked companies
| Listed companies | 1 |
|---|---|
| WELLS FARGO & COMPANY | Finance |
| Private companies | 2 |
|---|---|
First Allied Securities, Inc.
First Allied Securities, Inc. Investment Banks/BrokersFinance Founded in 1993, First Allied Securities, Inc. is an independent, SEC-registered broker/dealer headquartered in San Diego, California. The firm is a member of FINRA, the NASD and the SIPC. First Allied Securities Inc. was previously a subsidiary of Advanced Equities Financial Corp. In April 2006, Advanced Equities Financial Corp. acquired First Financial Planners and merged it with First Allied Securities. In 2008, the firm acquired First Montauk Securities Corp. from First Montauk Financial Corp. In 2011, Lovell Minnick Partners LLC and the management team of First Allied Advisory Services acquired the firm from Advanced Equities Financial Corp. First Allied Securities is affiliated with First Allied Advisory Services, Inc., a registered investment advisor. The firm provides a full array of trading and execution services for their clients. They do not provide any internal research. | Finance |
| Josephthal & Co (Broker) | Finance |
- Stock Market
- Insiders
- Rob Jay Moses
