RJM COUNSEL

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..