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RIA / WealthAdvisordual registered (broker-dealer)32 years in industry

Michael Edward Mosher

Advisor at MORGAN STANLEY

LOS GATOS, CA

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Search this name across graphsid dfx:ria:867eb5ac-72d4-c532-c94f-0a99147e78c3

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:52 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 0
On other graphs: 0
Observed: May 17, 2002 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: MORGAN STANLEY
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 29, 1993earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 8
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Oct 29, 1993
First registration: May 17, 2002
Dual registered: yes, broker-dealer
Other names: Mike Mosher
IAPD individual key: 2384867

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
MORGAN STANLEY	Wirehouse	Aug 24, 2020	n/a	yes	LOS GATOS, CA	Current employment
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Feb 27, 2019	Aug 24, 2020	no	REDWOOD CITY, CA	Previous registration
PORTSMOUTH FINANCIAL SERVICES	n/a	Jul 26, 2017	Feb 26, 2019	no	san francisco, CA\|SAN FRANCISCO, CA	Previous registration
NB WEALTH MANAGEMENT LLC	Former SEC adviser	Jun 27, 2016	Jul 19, 2017	no	SAN FRANCISCO, CA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jan 3, 2011	Oct 6, 2015	no	SAN JOSE, CA\|SANTA BARBARA, CA\|ROSEVILLE, CA\|SACRAMENTO, CA\|SAN JOSE, CA	Previous registration
WELLS FARGO INVESTMENTS, LLC	n/a	Apr 20, 2010	Jan 3, 2011	no	SAN JOSE, CA	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	May 29, 2007	May 11, 2010	no	SAN FRANCISCO, CA\|SAN FRANCISCO, CA\|SAN FRANCISCO, CA	Previous registration
CITICORP INVESTMENT SERVICES	n/a	Oct 5, 2005	May 29, 2007	no	SAN FRANCISCO, CA\|SAN FRANCISCO, CA\|SAN FRANCISCO, CA\|SAN FRANCISCO, CA	Previous registration
WELLS FARGO INVESTMENTS, LLC	n/a	May 17, 2002	Oct 11, 2005	no	WOODSIDE, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
AMERIPRISE FINANCIAL SERVICES, LLC	MORGAN STANLEY	Aug 24, 2020	Aug 24, 2020	0	Firm change	Ibd to wirehouse
PORTSMOUTH FINANCIAL SERVICES	AMERIPRISE FINANCIAL SERVICES, LLC	Feb 26, 2019	Feb 27, 2019	1	Firm change	Other
NB WEALTH MANAGEMENT LLC	PORTSMOUTH FINANCIAL SERVICES	Jul 19, 2017	Jul 26, 2017	7	Firm change	Other
WELLS FARGO ADVISORS	NB WEALTH MANAGEMENT LLC	Oct 6, 2015	Jun 27, 2016	265	Firm change	Wirehouse to new firm
WELLS FARGO INVESTMENTS, LLC	WELLS FARGO ADVISORS	Jan 3, 2011	Jan 3, 2011	0	Bulk transfer	Other
CITIGROUP GLOBAL MARKETS INC.	WELLS FARGO INVESTMENTS, LLC	May 11, 2010	Apr 20, 2010	-21	Firm change	Other
CITICORP INVESTMENT SERVICES	CITIGROUP GLOBAL MARKETS INC.	May 29, 2007	May 29, 2007	0	Bulk transfer	Other
WELLS FARGO INVESTMENTS, LLC	CITICORP INVESTMENT SERVICES	Oct 11, 2005	Oct 5, 2005	-6	Firm change	Other

Relationships

Registered with (8)

→ MORGAN STANLEYRegistered adviserregistration: current employment
Aug 24, 2020 to presentfactForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Feb 27, 2019 to Aug 24, 2020factForm ADV
→ PORTSMOUTH FINANCIAL SERVICESRegistered adviserregistration: previous registration
Jul 26, 2017 to Feb 26, 2019factForm ADV
→ NB WEALTH MANAGEMENT LLCRegistered adviserregistration: previous registration
Jun 27, 2016 to Jul 19, 2017factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jan 3, 2011 to Oct 6, 2015factForm ADV
→ WELLS FARGO INVESTMENTS, LLCRegistered adviserregistration: previous registration
Apr 20, 2010 to Jan 3, 2011factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
May 29, 2007 to May 11, 2010factForm ADV
→ CITICORP INVESTMENT SERVICESRegistered adviserregistration: previous registration
Oct 5, 2005 to May 29, 2007factForm ADV

Dated events

No dated event names this entity yet.