Joshua Daniel Mosshart, General Securities Representative and General Securities Principal CRD No. 3174050
According to FINRA in May, 2011, Joshua Mosshart had asked permission from his firm, LPL Financial, to be an Enviro Board sales representative. Mosshart was approved by LPL and was told not to solicit investors in Enviro Board. This would require Mosshart to inform LPL of any changes in his role with Enviro Board.
However, according to FINRA's records, between May 2011 through November 2012, while Mosshart was still associated with LPL, he referred approximately 20 investors, at least six were LPL customers to Enviro Board. They invested nearly $5 million in Enviro Board. Joshua Mosshart served as Enviro Board's President from January 1, 2012 through November 13, 2012 and he personally received approximately $485,000 in referral fees. According to FINRA, Joshua Mosshart never informed his member firm, LPL, of these actions.
Joshua Daniel Mosshart was previously registered with the following FINRA firm(s):
LPL FINANCIAL LLC (CRD# 6413) - WESTLAKE VILLAGE, CA
07/2004 - 12/2012
UBS FINANCIAL SERVICES INC. (CRD# 8174) - WEEHAWKEN, NJ
02/2003 - 07/2004
CHICAGO INVESTMENT GROUP, INC. (CRD# 11853) - CHICAGO, IL
08/2001 - 11/2001
FASCO INTERNATIONAL, INC. (CRD# 31009) - WALNUT, CA
01/2000 - 08/2001
SCHOFF & BAXTER, INC. (CRD# 3290) - BURLINGTON, IA
07/1999 - 12/1999
FINANCIAL WEST GROUP (CRD# 16668) - WESTLAKE VILLAGE, CA
05/1999 - 06/1999
This ends FINRA's info.
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