David B. Moore

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CRD#: 1008089

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

David Benton Moore was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1981. David had worked at 9 firms and has passed the Series 66, Series 63, Series 6TO, SIE, Series 7, Series 52 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

(1) FLORIDA EAST COAST GOLF ASSOCIATION; SINCE 09/15/2013; CYBERSPACE, FL, 33418; BOARD MEMBER; shared duties of administering league; keeping of statistics and results; handling dues and distributing prizes; 4 HOURS SPENT ON ACTIVITY PER MONTH, 0 DURING TRADING HOURS (2) STEEPLECHASE PROPERTY OWNERS ASSOCIATION; SINCE 01/23/2012; P.O. BOX 31175, PALM BEACH GARDENS, FL, 334101175; BOARD MEMBER/ VICE PRESIDENT; As one of 5 elected members of the community in which I live, carrying out all business and making all decisions which come before the Board; 6 HOURS SPENT ON ACTIVITY PER MONTH, 0 HOURS SPENT ON ACTIVITY PER MONTH DURING TRADING HOURS

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

May 24, 2023 - December 18, 2024

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

PALM BEACH GARDENS, FL

Past

March 17, 2021 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

PALM BEACH GARDENS, FL

Past

August 22, 2019 - December 18, 2024

CETERA WEALTH SERVICES, LLC

CRD#: 13572

PALM BEACH GARDENS, FL

Past

April 8, 2004 - May 20, 2021

SUMMIT FINANCIAL GROUP INC

RIA

CRD#: 109485

PALM BEACH GARDENS, FL

Past

March 15, 2004 - September 20, 2019

SUMMIT BROKERAGE SERVICES, INC.

CRD#: 34643

PALM BEACH GARDENS, FL

Past

July 15, 2002 - February 2, 2004

CONTINENTAL BROKER-DEALER CORP.

CRD#: 14048

CARLE PLACE, NY

Past

January 2, 2001 - July 5, 2002

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA

CRD#: 11025

NORTH PALM BEACH, FL

Past

January 2, 2001 - July 5, 2002

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

ST. LOUIS, MO

Past

February 18, 1998 - January 2, 2001

JWGENESIS SECURITIES, INC.

CRD#: 33832

BOCA RATON, FL

Past

November 19, 1991 - October 6, 1997

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

ST. PETERSBURG, FL

Past

March 29, 1990 - October 7, 1991

J. B. HANAUER & CO.

CRD#: 6958

PARSIPPANY, NJ

Past

November 4, 1981 - February 7, 1990

J. B. HANAUER & CO.

CRD#: 6958

PARSIPPANY, NJ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/28/2001

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/1/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/20/1982

General Securities Representative Examination

General Industry/Product Exam

Series 52

Date: 8/15/1981

Municipal Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/5/2005

General Securities Principal Examination

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

David B. Moore

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

SUMMIT FINANCIAL GROUP INC

SUMMIT BROKERAGE SERVICES, INC.

CONTINENTAL BROKER-DEALER CORP.

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

JWGENESIS SECURITIES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

J. B. HANAUER & CO.

J. B. HANAUER & CO.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/28/2001

Series 63

Date: 6/1/1982

Series 6TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 3/20/1982

Series 52

Date: 8/15/1981

Series 24

Date: 3/5/2005

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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