Deanna L. Moore
Professional summary
Deanna Louise Moore, who also goes by Deanna L Basler, Deanna Louise Basler, Deanna Louise Harris, Deanna R Harris, Deanna Ross Harris, Deanna L Moore, Deanna Louise Ross, is a registered financial professional currently at CETERA INVESTMENT SERVICES LLC located in St. Cloud, Minnesota.
Deanna is registered as a RR (Registered Representative) and started their career in finance in 1986. Deanna has worked at 21 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Deanna Louise Moore's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 22, 2024 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 400 First St. S. Suite 300, St. Cloud, MN 56301March 11, 2024 - June 25, 2024
LPL FINANCIAL LLC
October 2, 2020 - March 12, 2021
VENTURE.CO BROKERAGE SERVICES LLC
February 14, 2018 - June 27, 2018
SS&C MARKET SERVICES, LLC
December 9, 2016 - February 12, 2018
MOLONEY SECURITIES ASSET MANAGEMENT LLC
May 27, 2016 - December 31, 2017
MOLONEY SECURITIES CO., INC.
May 19, 2016 - December 31, 2016
MOLONEY INVESTMENT ADVISORY LLC
March 7, 2014 - August 13, 2014
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
February 26, 2014 - August 13, 2014
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
June 24, 2011 - July 2, 2012
CHARLES SCHWAB & CO., INC.
June 23, 2011 - July 2, 2012
CHARLES SCHWAB & CO., INC.
September 15, 2010 - October 26, 2010
TRIAD ADVISORS LLC
April 17, 2009 - September 30, 2009
FAS WEALTH PARTNERS, INC.
October 17, 2008 - August 6, 2009
AMERICAN BEACON PARTNERS, INC.
January 1, 2006 - February 9, 2007
UMB FINANCIAL SERVICES, INC.
September 9, 2005 - February 9, 2007
UMB FINANCIAL SERVICES, INC.
April 11, 2001 - December 31, 2004
UBS ASSET MANAGEMENT (US) INC.
March 28, 1997 - February 26, 2001
AMERICAN CENTURY INVESTMENT SERVICES INC.
July 27, 1995 - March 21, 1997
OCC DISTRIBUTORS LLC
March 30, 1992 - April 7, 1994
ROBERT THOMAS SECURITIES, INC
April 1, 1991 - December 31, 1991
VSR FINANCIAL SERVICES, INC.
October 29, 1990 - April 11, 1991
LPL FINANCIAL LLC
November 8, 1988 - August 22, 1989
BMA FINANCIAL SERVICES, INC.
September 21, 1987 - October 18, 1988
AMERIPRISE FINANCIAL SERVICES, LLC
November 21, 1986 - September 22, 1987
E. F. HUTTON & COMPANY INC
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
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationFINRA
Current Firm
CETERA INVESTMENT SERVICES LLC
CRD#: 15340 / SEC#: 801-45573, 8-31826
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| CASEY, SEAN PATRICK | VICE PRESIDENT | 2156290 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HANAU, JENNIFER LEIGH | VICE PRESIDENT | 2898698 |
| HOLWEGER, KIMBERLEY ANN | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| KIRCHER, NICHOLE MARIE | VICE PRESIDENT | 2876887 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | CHIEF COMPLIANCE OFFICER | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| REINHOLZ, CHRISTOPHER JON | VICE PRESIDENT, DIRECTOR OF TRADING | 1961258 |
| RUMMEL, LEANN RENEE | MANAGER, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 1965155 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 3 |
Red Flags
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Company Information
CETERA INVESTMENT SERVICES LLC
CRD#: 15340St. Cloud, MN 56301TRUST BUT VERIFY
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