Michael J. Moultrie

CETERA INVESTMENT ADVISERS LLC

CLEVELAND, TN 37312

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CRD#: 2338702

Professional summary

Michael Jay Moultrie, who also goes by Yj Moultrie, Young Jay Moultrie, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Cleveland, Tennessee and CETERA INVESTMENT SERVICES LLC located in Cleveland, Tennessee.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Michael has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Yj Moultrie | Young Jay Moultrie

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. CAPSTONE AMERICA GROUP LLC, REHAB DOUBLEWIDE TRAILERS, 100% OWNER

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Jay Moultrie's CRS (Customer Relationship Summary).

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®

None

Experience

Current

January 21, 2014 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 178 Paul Huff Pkwy, Cleveland, TN 37312

RIA

CRD#: 105644

CLEVELAND, TN

Current

May 9, 2013 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 178 Paul Huff Pkwy, Cleveland, TN 37312

CRD#: 15340

Cleveland, TN

Past

May 9, 2013 - January 21, 2014

CETERA INVESTMENT SERVICES LLC

RIA

CRD#: 15340

CLEVELAND, TN

Past

November 2, 2007 - May 6, 2013

BB&T INVESTMENT SERVICES, INC.

RIA

CRD#: 33856

CLEVELAND, TN

Past

November 14, 2006 - May 6, 2013

BB&T INVESTMENT SERVICES, INC.

CRD#: 33856

CLEVELAND, TN

Past

December 19, 2002 - December 13, 2006

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

CLEVELAND, TN

Past

January 30, 2002 - January 6, 2003

WALL STREET FINANCIAL GROUP, INC.

CRD#: 35830

VICTOR, NY

Past

April 5, 2001 - February 15, 2002

M HOLDINGS SECURITIES, INC.

CRD#: 43285

PORTLAND, OR

Past

January 12, 1996 - April 3, 2001

MUTUAL SERVICE CORPORATION

CRD#: 4806

BOSTON, MA

Past

May 13, 1993 - January 18, 1996

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Alabama
(5/17/2017)

Florida
(12/14/2016)

Georgia
(3/17/2014)

Indiana
(10/29/2019)

Iowa
(10/29/2019)

North Carolina
(3/17/2014)

Ohio
(5/17/2017)

South Carolina
(10/29/2019)

Tennessee
(5/9/2013)

IAR

Tennessee
(1/21/2014)

Texas
(2/1/2017)

IAR

Texas
(1/12/2023)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/1/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/25/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/12/1993

General Securities Representative Examination

SRO Registrations

FINRA

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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Michael J. Moultrie

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Jay Moultrie's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

CETERA INVESTMENT SERVICES LLC

BB&T INVESTMENT SERVICES, INC.

BB&T INVESTMENT SERVICES, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

WALL STREET FINANCIAL GROUP, INC.

M HOLDINGS SECURITIES, INC.

MUTUAL SERVICE CORPORATION

OSAIC WEALTH, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/1/2007

Series 63

Date: 5/25/1993

SIE

Date: 10/1/2018

Series 7

Date: 5/12/1993

FINRA

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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