Lance A. Moody
Professional summary
Lance Allan Moody is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Boca Raton, Florida and CETERA INVESTMENT SERVICES LLC located in Boca Raton, Florida.
Lance is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Lance has worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Lance Allan Moody's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 27, 2020 - Present
CETERA INVESTMENT ADVISERS LLC
Office #2: 2255 Glades Rd Suite 324a, Boca Raton, FL 33431March 27, 2020 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 2255 Glades Rd Suite 324a, Boca Raton, FL 33431March 29, 2017 - March 30, 2020
AEGIS CAPITAL CORP.
February 17, 2017 - March 30, 2020
AEGIS CAPITAL CORP.
December 11, 2013 - February 23, 2017
B. RILEY WEALTH ADVISORS, INC.
November 22, 2013 - February 23, 2017
NATIONAL SECURITIES CORPORATION
April 26, 2010 - December 9, 2013
MAXIM GROUP LLC
January 2, 2009 - April 26, 2010
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
February 3, 2006 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 15, 2004 - April 26, 2010
RAYMOND JAMES FINANCIAL SERVICES, INC.
December 9, 2002 - October 20, 2004
GILFORD SECURITIES INCORPORATED
January 12, 2000 - December 9, 2002
WELLS FARGO CLEARING SERVICES, LLC
February 25, 1998 - January 26, 2000
JANNEY MONTGOMERY SCOTT LLC
May 2, 1994 - March 3, 1998
UBS FINANCIAL SERVICES INC.
November 8, 1993 - May 9, 1994
LEHMAN BROTHERS INC.
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
(3/27/2020)
(3/27/2020)
(3/27/2020)
(4/27/2020)
(3/27/2020)
(3/27/2020)
(3/27/2020)
(3/27/2020)
Exams
FINRA
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
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