Morris C. Moser
CETERA INVESTMENT ADVISERS LLC
WINSTON- SALEM, NC 27103
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CRD#: 1820768
Professional summary
Morris Craig Moser, CFP®, who also goes by M. C Moser, Morris C Moser, Craig Moser, M. Craig Moser, Morris Craig Moser, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Winston- Salem, North Carolina and CETERA WEALTH SERVICES, LLC located in Winston Salem, North Carolina.
Morris is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Morris has worked at 17 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
M. C Moser | Morris C Moser | Craig Moser | M. Craig Moser | Morris Craig Moser
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) Maestro Insurance Services, Inc.; Non-Inv Related; 755 Highland Oaks Dr, Ste 101; Winston Salem, NC, 27103; Ins Agent; Other; 7/7/1989; 4hrs; 4hrs; Meet with clients, see their ins needs, provide suitable products and when appropriate write the apps to fulfill their needs. 2) Maestro Wealth Advisors, LLC; Inv Related; 755 Highland Oaks Dr, Ste 101, Winston Salem, NC, 27103; Other; Owner; 3/6/2012; 142hrs; 117hrs; I meet with clients to see their financial needs, develop a plan to help them reach their goals, and provide products, when app. 3) Piedmont Financial Educators, Inc.; NIR; 755 Highland Oaks Dr, Ste 101, Winston Salem, NC, 27103; Other; Other; 12/29/2016; 1hrs; 0hrs; Teach financial and retirement related topics to adults in my community NIR; 755 Highland Oaks Dr, Ste 101, Winston Salem, NC, 27103; 1/1/2016; 1hrs; 1hrs; I sign off on the 5500 filing. Work with TPA/Recordkeeper to structure the plan and keep compliant with new reg. 4) LANDLORD AND REAL ESTATE INVESTOR; POSITION: Owner NATURE: Own and manage various prop to rent and buy. INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 02/01/1999 ADDRESS: 755 Highland Oaks Drive, Suite 101, Winston Salem NC 27103, United States DESCRIPTION: Manage existing properties and buy/sell properties 5) CAR WASH POSITION: Shared Ownership and oversight NATURE: Buying an existing Car Wash, with personnel handing the day-to-day operating resp. I have 25% ownership. My wife has 25% ownership, and another individual will own 50%. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 1 START DATE: 08/01/2022; ADDRESS: 1109 S Main St, Lexington NC 27292; DESCRIPTION: As partial owner, will share in the oversight responsibilities of hiring/firing, vendor contract negotiations, marketing initiatives and banking needs.
CRS (Client Relationship Summary) - RIA
Click below to view Morris Craig Moser's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 2015
Experience
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 755 Highland Oaks Drive Suite 101, Winston- Salem, NC 27103Office #2: 701 Green Valley Road Suite 106, Greensboro, NC 27408RIA
CRD#: 105644
WINSTON- SALEM, NC
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 755 Highland Oaks Drive Suite 101, Winston Salem, NC 27103Office #2: 701 Green Valley Road Suite 100 #249, Greensboro, NC 27408BD
CRD#: 13572
Winston Salem, NC
Past
March 3, 2021 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Winston- Salem, NC
Past
March 3, 2021 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Winston Salem, NC
Past
July 3, 2019 - March 2, 2021
WORLD EQUITY GROUP, INC.
BD
CRD#: 29087
Winston-Salem, NC
Past
June 4, 2015 - March 2, 2021
BROOKSTONE ASSET MANAGEMENT, LLC
RIA
CRD#: 153467
Greensboro, NC
Past
April 8, 2015 - March 2, 2021
BROOKSTONE WEALTH ADVISORS, LLC
RIA
CRD#: 137658
Greensboro, NC
Past
October 29, 2014 - August 7, 2019
TAYLOR CAPITAL MANAGEMENT INC.
BD
CRD#: 43559
Winston Salem, NC
Past
July 5, 2012 - April 17, 2015
ADVISORY SERVICES NETWORK
RIA
CRD#: 146051
WINSTON SALEM, NC
Past
July 3, 2012 - September 30, 2014
RESOURCE HORIZONS GROUP LLC
BD
CRD#: 104368
WINSTON-SALEM, NC
Past
June 16, 2006 - July 5, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
WINSTON-SALEM, NC
Past
June 16, 2006 - July 5, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
WINSTON-SALEM, NC
Past
April 15, 2002 - July 10, 2006
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
HIGH POINT, NC
Past
September 8, 2000 - July 10, 2006
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
HIGH POINT, NC
Past
May 5, 1999 - September 29, 2000
SCOTT & STRINGFELLOW, LLC
BD
CRD#: 6255
RICHMOND, VA
Past
July 22, 1997 - May 5, 1999
SCOTT & STRINGFELLOW, INC.
BD
CRD#: 3309
RICHMOND, VA
Past
January 20, 1996 - July 11, 1997
CAPITAL INVESTMENT GROUP, INC.
BD
CRD#: 14752
RALEIGH, NC
Past
February 11, 1995 - December 31, 1995
WMA SECURITIES, INC.
BD
CRD#: 32625
DULUTH, GA
Past
July 12, 1991 - May 11, 1995
CAPITAL INVESTMENT GROUP, INC.
BD
CRD#: 14752
RALEIGH, NC
Past
May 25, 1988 - December 6, 1989
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arkansas(9/5/2025)
RR
Colorado(9/5/2025)
RR
Florida(9/5/2025)
RR
Georgia(9/5/2025)
RR
Illinois(9/18/2025)
RR
Maryland(9/5/2025)
RR
New Jersey(9/18/2025)
RR
New Mexico(9/18/2025)
RR
North Carolina(9/5/2025)
IAR
North Carolina(9/5/2025)
RR
Ohio(9/5/2025)
RR
Pennsylvania(9/5/2025)
RR
South Carolina(9/5/2025)
RR
Tennessee(9/18/2025)
RR
Texas(9/5/2025)
IAR
Texas(9/5/2025)
RR
Vermont(9/18/2025)
RR
Virginia(9/5/2025)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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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)
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
