Michael J. Moster
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.
Michael James Moster was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1982. Michael had worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 21, 2014 - June 24, 2015
CETERA INVESTMENT ADVISERS LLC
September 21, 2010 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
September 21, 2010 - June 24, 2015
CETERA INVESTMENT SERVICES LLC
October 22, 2008 - September 22, 2010
CUNA BROKERAGE SERVICES, INC.
May 27, 2008 - September 22, 2010
CUNA BROKERAGE SERVICES, INC.
April 17, 2007 - May 19, 2008
COUNTRYWIDE INVESTMENT SERVICES, INC.
May 31, 2005 - April 12, 2007
U.S. BANCORP INVESTMENTS, INC.
February 27, 2004 - June 7, 2005
CHARTER ONE SECURITIES, INC.
January 29, 2002 - December 31, 2003
PMG SECURITIES CORPORATION
July 21, 2000 - December 4, 2001
BANC ONE SECURITIES CORPORATION
February 4, 2000 - July 5, 2000
LASALLE FINANCIAL SERVICES, INC.
January 1, 2000 - February 15, 2000
CHARTER ONE SECURITIES, INC.
February 17, 1999 - January 1, 2000
INVESTMENT NETWORK, INC.
June 21, 1982 - February 18, 1999
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
June 21, 1982 - February 18, 1999
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
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 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
