Anthony S. Mossa

CETERA INVESTMENT ADVISERS LLC

HALESITE, NY

Some features on this profile are disabled

CRD#: 2368130

Professional summary

Anthony Sebastian Mossa, who also goes by Anthony Mossa, Sebastian Anthony Mossa, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Halesite, New York and CETERA WEALTH SERVICES, LLC located in Ozone Park, New York.

Anthony is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Anthony has worked at 19 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Anthony Mossa | Sebastian Anthony Mossa

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) S. Mossa Agency~'NIR'~10530 Crossbay Blvd~Ozone Park~NY~11417~Insurance Agent~Owner/Sole Proprietor~9/1/1992~80hrs~40hrs~Offers life insurance, P&C, and health insurance to my clients.|Mossa Risk Solutions, LLC~'NIR'~29 Ketewomoke Dr~Halesite~NY~11743~Insurance Agent~Agent~5/20/2014~0hrs~0hrs~Zero, just an entity name.| 2) DEFENSIVE ADVISORY POSITION: Financial Advisor NATURE: DBA name to solicit Securities Business INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 04/10/2024 ADDRESS: 10530 Crossbay Blvd, Ozone Park NY 11417, United States DESCRIPTION: DBA name only 3)Mossa Risk Solutions, LLC; Agent; Insurance Agent; IR; 0; 05/20/2014; 29 Ketewomoke Dr Halesite NY 11743; Zero, just an entity name. 4)S. Mossa Agency; Owner/Sole Proprietor; Insurance Agent; IR; 40; 09/01/1992; 10530 Crossbay Blvd Ozone Park NY 11417; Offers life insurance, P&C, and health insurance to my clients.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Anthony Sebastian Mossa'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

September 5, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #2: 10530 Crossbay Blvd, Ozone Park, NY 11417

RIA

CRD#: 105644

HALESITE, NY

Current

September 5, 2025 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 10530 Crossbay Blvd, Ozone Park, NY 11417

CRD#: 13572

Ozone Park, NY

Past

January 23, 2017 - September 5, 2025

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

Ozone Park, NY

Past

January 9, 2017 - September 5, 2025

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

Ozone Park, NY

Past

April 7, 2016 - December 31, 2016

SUMMIT FINANCIAL GROUP INC

RIA

CRD#: 109485

Ridgewood, NY

Past

September 8, 2015 - December 31, 2016

SUMMIT BROKERAGE SERVICES, INC.

CRD#: 34643

Ridgewood, NY

Past

November 18, 2013 - September 29, 2015

J.P. TURNER & COMPANY, L.L.C.

CRD#: 43177

RIDGEWOOD, NY

Past

September 19, 2012 - November 22, 2013

SANTANDER SECURITIES LLC

CRD#: 41791

LONG ISLAND CITY, NY

Past

August 27, 2012 - September 19, 2012

LPL FINANCIAL LLC

CRD#: 6413

MANHASSET, NY

Past

March 2, 2010 - September 7, 2012

SECURITIES AMERICA, INC.

CRD#: 10205

LAVISTA, NE

Past

September 26, 2008 - December 24, 2009

GUNNALLEN FINANCIAL, INC

CRD#: 17609

RIDGEWOOD, NY

Past

January 1, 2005 - October 2, 2006

HSBC SECURITIES (USA) INC.

CRD#: 19585

QUEENS VILLAGE, NY

Past

February 10, 2004 - January 1, 2005

HSBC BROKERAGE (USA) INC.

CRD#: 6956

NEW YORK, NY

Past

January 2, 2004 - January 26, 2004

GREENPOINT SECURITIES LLC

CRD#: 127042

LAKE SUCCESS, NY

Past

April 21, 1998 - January 2, 2004

ESSEX NATIONAL SECURITIES, LLC

CRD#: 25454

NAPA, CA

Past

October 1, 1997 - April 8, 1998

AMERICAN GENERAL SECURITIES INCORPORATED

CRD#: 13626

PHOENIX, AZ

Past

January 16, 1997 - October 1, 1997

USLIFE EQUITY SALES CORP.

CRD#: 7962

NEW YORK, NY

Past

August 6, 1993 - October 22, 1996

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

August 6, 1993 - October 22, 1996

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

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

Florida
(9/19/2025)

New Jersey
(9/5/2025)

New York
(9/5/2025)

IAR

New York
(9/5/2025)

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: 3/3/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/4/1993

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: 11/20/2003

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/4/1993

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 10

Date: 12/20/2004

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 9/14/2004

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

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

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Anthony S. Mossa

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Anthony Sebastian Mossa's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

SUMMIT FINANCIAL GROUP INC

SUMMIT BROKERAGE SERVICES, INC.

J.P. TURNER & COMPANY, L.L.C.

SANTANDER SECURITIES LLC

LPL FINANCIAL LLC

SECURITIES AMERICA, INC.

GUNNALLEN FINANCIAL, INC

HSBC SECURITIES (USA) INC.

HSBC BROKERAGE (USA) INC.

GREENPOINT SECURITIES LLC

ESSEX NATIONAL SECURITIES, LLC

AMERICAN GENERAL SECURITIES INCORPORATED

USLIFE EQUITY SALES CORP.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/3/2016

Series 63

Date: 8/4/1993

SIE

Date: 10/1/2018

Series 7

Date: 11/20/2003

Series 6

Date: 8/4/1993

Series 10

Date: 12/20/2004

Series 9

Date: 9/14/2004

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

Similar Advisors