GM
Gary L. Moses
VISTIA CAPITAL
Castle Rock, CO 80104
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CRD#: 7074013
GM
Professional summary
Gary Lee Moses is a registered financial professional currently at VISTIA CAPITAL, LLC located in Castle Rock, Colorado.
Gary is registered as a RR (Registered Representative) and started their career in finance in 2019. Gary has worked at 2 firms and has passed the Series 63, Series 99TO, Series 82TO, SIE and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Gary Lee Moses's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 16, 2021 - Present
VISTIA CAPITAL, LLC
Office #1: 202 6th Street, Suite 303, Castle Rock, CO 80104BD
CRD#: 311342
Castle Rock, CO
Past
February 22, 2019 - July 2, 2021
PATRICK CAPITAL MARKETS, LLC
BD
CRD#: 16518
CASTLE ROCK, CO
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(7/19/2021)
RR
Alaska(7/16/2021)
RR
Arizona(7/22/2021)
RR
Arkansas(7/12/2021)
RR
California(7/29/2021)
RR
Colorado(6/21/2021)
RR
Connecticut(7/9/2021)
RR
Delaware(7/28/2021)
RR
District of Columbia(7/15/2021)
RR
Florida(9/10/2021)
RR
Georgia(7/16/2021)
RR
Hawaii(10/4/2021)
RR
Idaho(7/8/2021)
RR
Illinois(11/23/2021)
RR
Indiana(8/25/2021)
RR
Iowa(7/8/2021)
RR
Kansas(7/8/2021)
RR
Kentucky(7/12/2021)
RR
Louisiana(7/12/2021)
RR
Maine(8/3/2021)
RR
Maryland(7/8/2021)
RR
Massachusetts(10/26/2021)
RR
Michigan(7/22/2021)
RR
Minnesota(9/30/2021)
RR
Mississippi(7/8/2021)
RR
Missouri(8/2/2021)
RR
Montana(7/19/2021)
RR
Nebraska(8/16/2021)
RR
Nevada(7/16/2021)
RR
New Hampshire(8/3/2021)
RR
New Jersey(8/6/2021)
RR
New Mexico(7/14/2021)
RR
New York(7/11/2021)
RR
North Carolina(7/8/2021)
RR
North Dakota(7/13/2021)
RR
Ohio(7/9/2021)
RR
Oklahoma(7/8/2021)
RR
Oregon(8/6/2021)
RR
Pennsylvania(7/8/2021)
RR
Rhode Island(7/14/2021)
RR
South Carolina(7/14/2021)
RR
South Dakota(8/19/2021)
RR
Tennessee(8/3/2021)
RR
Texas(8/4/2021)
RR
Utah(7/8/2021)
RR
Vermont(7/8/2021)
RR
Virginia(9/30/2021)
RR
Washington(7/8/2021)
RR
West Virginia(7/28/2021)
RR
Wisconsin(7/8/2021)
RR
Wyoming(7/15/2021)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 82TO
Date: 2/22/2019
Limited Representative-Private Securities OfferingsGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
VC
VISTIA CAPITAL, LLC
VISTIA CAPITAL, LLC
CRD#: 311342 / SEC#: , 8-70643
BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
202 6th Street, Suite 303, Castle Rock, CO 80104
Mailing Address
202 6th Street, Suite 303, Castle Rock, CO 80104
Phone number
(720) 738-1742
Established
Delaware since 07/13/2020
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
VISTIA CAPITAL, LLC
CRD#: 311342Castle Rock, CO 80104TRUST BUT VERIFY
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