DM
Dennis M. Moser
CETERA INVESTMENT ADVISERS LLC
FORT SMITH, AR 72903
Some features on this profile are disabled
CRD#: 4555758
DM
Professional summary
Dennis Michael Moser, who also goes by D Michael Moser, Michael Moser, Mike Moser, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Fort Smith, Arkansas and CETERA WEALTH SERVICES, LLC located in Fort Smith, Arkansas.
Dennis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Dennis has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
D Michael Moser | Michael Moser | Mike 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) LANDMARK FINANCIAL LLC POSITION: Member NATURE: Changing Name of Beall Barclay Wealth Management LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 4 START DATE: 10/01/2018 ADDRESS: 3101 South 70th Street, Fort Smith AR 72903, United States DESCRIPTION: CPA referring business to financial advisors 2) LANDMARK PLC CPAS POSITION: Member NATURE: Accounting Firm INVESTMENT RELATED: No NUMBER OF HOURS: 190 SECURITIES TRADING HOURS: 190 START DATE: 10/13/2018 ADDRESS: 3101 South 70th Street, Fort Smith AR 72903, United States DESCRIPTION: Tax Partner in an accounting firm. I prepare and review tax returns for clients for a fee. 3) PAUL RICHARD MOSER TRUST POSITION: POA NATURE: POA for the trustee of the trust INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 1 START DATE: 10/12/2023 ADDRESS: 3101 South 70th Street, Fort Smith AR 72903, United States DESCRIPTION: Request payments from the trust to be made for medical bills and regular expenses
CRS (Client Relationship Summary) - RIA
Click below to view Dennis Michael 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®
NoneExperience
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 3101 South 70th Street, Fort Smith, AR 72903RIA
CRD#: 105644
FORT SMITH, AR
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 3101 South 70th Street, Fort Smith, AR 72903BD
CRD#: 13572
FORT SMITH, AR
Past
October 25, 2019 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Fort Smith, AR
Past
October 25, 2019 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
FORT SMITH, AR
Past
May 4, 2005 - October 27, 2008
BEALL BARCLAY ADVISORS, LLC
RIA
CRD#: 133278
FORT SMITH, AR
Past
January 10, 2003 - October 25, 2019
1ST GLOBAL ADVISORS INC
RIA
CRD#: 111133
FORT SMITH, AR
Past
August 29, 2002 - October 25, 2019
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
FORT SMITH, AR
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)
IAR
Arkansas(9/5/2025)
RR
Oklahoma(9/5/2025)
Exams
State Security Law 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
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)
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
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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Fort Smith, AR 72903TRUST BUT VERIFY
Monitor Dennis Moser
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
