JM
J S. Moore
CETERA INVESTMENT ADVISERS LLC
KENNESAW, GA
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CRD#: 4606318
JM
Professional summary
J Sean Moore, who also goes by Jessie Sean Moore, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Kennesaw, Georgia and CETERA FINANCIAL SPECIALISTS LLC located in Kennesaw, Georgia.
J is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. J has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jessie Sean Moore
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) MAPEC GROUP, LLC; INV. RELATED; KENNESAW, GA; HEALTH INSURANCE SALES-GROUP & INDIVIDUAL THROUGH HUMANA, UNITED HEALTH/GOLDEN RULE, KAISER, ASSURANT/JOHN ALDEN, AETNA, BLUE CROSS BLUE SHIELD; OWNER; SINCE 10/2006; 30 HRS/MO DURING SECURITIES TRADING HOURS:
2)FEDEX
INVESTMENT RELATED: NO
ADDRESS: 1675 AIRPORT RD. KENNESAW, GA 30144
NATURE OF BUSINESS: FEDEX GROUND
START DATE: 02/08/2016
POSITION/TITLE/RELATIONSHIP: MAIL HANDLING
APX NUMBER OF HOURS PER WEEK: 10-20
APX NUMBER OF HOURS DURING TRADING HOURS: VARIES
BRIEF DESCRIPTION OF DUTIES: SHIPPING AND MAIL HANDLING
3)ZION BAPTIST CHURCH OF MARIETTE, INC., NOT INVESTMENT RELATED, 165 LEMON ST, NE, MARIETTA, GA, 30060, CHURCH, STARTED 01/2020. POSITION/TITLE/RELATIONSHIP: ASSISTANT TREASURER, APX 8 HOURS PER WEEK, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: ASSIST THE TREASURER IN THEIR DUTIES.
4) NAME OF OTHER BUSINESS: TEA DOLCE;
INVESTMENT RELATED: NO;
ADDRESS: 4168 HAYNES MILL CT NW KENNESAW GA 30144;
NATURE OF BUSINESS: TEA WHOLESALE/RETAIL;
START DATE: XXXX
POSITION/TITLE/RELATIONSHIP: CO-OWNER, CFO;
APX NUMBER OF HOURS PER WEEK: UP TO 4;
APX NUMBER OF HOURS DURING TRADING HOURS: UP TO 4;
BRIEF DESCRIPTION OF DUTIES: DISTRIBUTE PRODUCT VIA SHIPPING DELIVERY COMPANIES;
CRS (Client Relationship Summary) - RIA
Click below to view J Sean Moore'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
August 19, 2009 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
KENNESAW, GA
Current
August 18, 2009 - Present
CETERA FINANCIAL SPECIALISTS LLC
BD
CRD#: 10358
KENNESAW, GA
Past
May 16, 2006 - July 31, 2009
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
ATLANTA, GA
Past
December 6, 2002 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
VIRGINIA BEACH, VA
Past
December 6, 2002 - July 31, 2009
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
ATLANTA, GA
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
District of Columbia(8/18/2009)
RR
Florida(2/9/2022)
RR
Georgia(8/18/2009)
IAR
Georgia(8/19/2009)
RR
Maryland(8/18/2009)
RR
Texas(8/28/2018)
IAR
Texas(2/23/2023)
Exams
State Security Law Exam
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
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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
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.
