Richard Moseley has been Senior of Princeton Global Asset Management since March 2021, is a control person of the firm and directly owns under 5% of it. Richard Moseley holds an MBA from NYU Stern School of Business and a BA from Vassar College.
Princeton Global Asset Management LLC is a Princeton, NJ firm with $921M under management, 365 clients and 17 advisers in one office, as of its March 2026 filing.
Richard Moseley is Partner & Senior Wealth Manager of Princeton Global. He works primarily with families experiencing inflection points in their financial lives. Before joining the firm he ran his own investment management business for ten years, and before that spent 20 years as an investment banker on Wall Street. He is a former President & Owner of Alpha Risk Management.
Richard Moseley’s longest registration is the current one, 6 years at Princeton Global Asset Management since 2019. Before joining Princeton Global Asset Management in 2019, Richard Moseley was registered through Alpha Risk Management, LLC and Barclays Capital Inc.
- – present · 6 yearsPrinceton, NJ · Adviser representative · Firm CRD 146644
- Alpha Risk Management, LLC– · 6 yearsPrinceton, NJ · Adviser representative · Firm CRD 167884
- Barclays Capital Inc.– · 1 yearNew York, NY · Adviser representative · Firm CRD 19714
- Lehman Brothers Inc.– · under a yearNew York, NY · Adviser representative · Firm CRD 7506
Investment adviser representative registrations
Richard Moseley is registered as an investment adviser representative in New Jersey, since November 2019.
- New JerseySince 21 November 2019
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 19 September 2013 |
| Series 66 | Uniform Combined State Law Examination | 2 January 2008 |
| Series 63 | Uniform Securities Agent State Law Examination | 9 December 2004 |
| Series 24 | General Securities Principal Examination | 2 February 1995 |
| Series 7 | General Securities Representative Examination | 29 March 1994 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Combined State Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
- Full name
- Richard Michael Moseley
- CRD
- 1370519
- Firm
- Princeton Global Asset Management · CRD 146644
- Role
- Senior
- Office
- 17 HULFISH STREET, SUITE 240, Princeton, NJ 08542
- Registration
- Investment adviser registration
- In the industry since
- November 2011
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- princetonglobal.com
Where does Richard Moseley work?
Richard Moseley has been Senior of Princeton Global Asset Management LLC since March 2021, and is a control person of the firm.
Is Richard Moseley a financial advisor?
Yes. Richard Moseley has a current investment-adviser registration in New Jersey, through Princeton Global Asset Management since November 2019.
How many years of experience does Richard Moseley have?
Richard Moseley has 14 years in the financial industry, since November 2011, across 4 adviser firms.
What exams has Richard Moseley passed?
Richard Moseley has passed 5 licensing exams: the Series 7, Series 24, Series 63, Series 66 and Series 65. The earliest, the Series 7, was passed in March 1994.
Where did Richard Moseley work before Princeton Global Asset Management?
Before Princeton Global Asset Management, Richard Moseley was registered through Barclays Capital Inc., January 2009 to March 2010; Lehman Brothers Inc., February 2008 to October 2008.
Where is Richard Moseley based?
Richard Moseley’s registered office is in Princeton, NJ.
Is Richard Moseley registered with FINRA?
No. Richard Moseley has no current broker registration.
How can I verify Richard Moseley’s record?
Search CRD 1370519 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Richard Moseley’s full registration record.
