MO
Moises H. Ospina
AVANTAX PLANNING PARTNERS
DALLAS, TX 75019
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CRD#: 4836345
MO
Professional summary
Moises Humberto Ospina, CIMA® is a registered financial advisor currently at AVANTAX PLANNING PARTNERS, INC. located in Dallas, Texas and CETERA INVESTMENT ADVISERS LLC located in Dallas, Texas.
Moises is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Moises has worked at 9 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 4, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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) AVANTAX INSURANCE AGENCY AND/OR AVANTAX INSURANCE SERVICESI POSITION: FPC with APP NATURE: I'm a licensed insurance agent on the estate of TX. INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 5 START DATE: 01/13/2023 ADDRESS: 320 Morrison Park Dr., Suite 130, Southlake TX 76092, United States DESCRIPTION: I sell insurance products as a holistic part of financial planning with Avantax Planning Partners. 2) INDEXED ANNUITIES POSITION: Financial Planning Consultant NATURE: I approach a full financial plan as a I establish the business relationship with clients. INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 8 START DATE: 03/22/2024 ADDRESS: 320 Morrison Park Dr., Suite 130, Southlake TX 76092, United States DESCRIPTION: As a W2 Financial Panning Consultant with Avantax planning Partners I explore annuities and indexed annuities in a case by case scenario as part of a comprehensive financial plan.
CRS (Client Relationship Summary) - RIA
Click below to view Moises Humberto Ospina'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®
Experience
Current
September 2, 2022 - Present
AVANTAX PLANNING PARTNERS, INC.
Office #1: 3200 Olympus Blvd Suite 100, Dallas, TX 75019Office #2: 320 Morrison Park Dr. Suite 130, Southlake, TX 76092RIA
CRD#: 106237
DALLAS, TX
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 3200 Olympus Blvd Suite 100, Dallas, TX 75019Office #2: 320 Morrison Park Dr. Suite 130, Southlake, TX 76092RIA
CRD#: 105644
DALLAS, TX
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 3200 Olympus Blvd Suite 100, Dallas, TX 75019Office #2: 320 Morrison Park Dr. Suite 130, Southlake, TX 76092BD
CRD#: 13572
DALLAS, TX
Past
October 25, 2019 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
DALLAS, TX
Past
October 25, 2019 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
DALLAS, TX
Past
September 17, 2012 - October 25, 2019
1ST GLOBAL ADVISORS INC
RIA
CRD#: 111133
DALLAS, TX
Past
February 28, 2012 - October 25, 2019
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
DALLAS, TX
Past
May 2, 2009 - February 1, 2012
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
CHICAGO, IL
Past
September 3, 2004 - May 2, 2009
WAMU INVESTMENTS, INC.
BD
CRD#: 599
IRVINE, CA
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
Arizona(9/5/2025)
RR
Arkansas(9/5/2025)
RR
California(9/5/2025)
RR
Colorado(9/5/2025)
RR
District of Columbia(9/5/2025)
RR
Florida(9/5/2025)
RR
Idaho(9/5/2025)
RR
Indiana(9/5/2025)
RR
Iowa(9/5/2025)
RR
Kansas(9/5/2025)
RR
Kentucky(9/5/2025)
RR
Maryland(9/5/2025)
RR
Minnesota(9/5/2025)
RR
Mississippi(9/5/2025)
RR
Missouri(9/5/2025)
RR
New Jersey(9/18/2025)
RR
New Mexico(9/5/2025)
RR
North Carolina(9/5/2025)
RR
Ohio(9/5/2025)
RR
Oklahoma(9/5/2025)
RR
Pennsylvania(9/5/2025)
RR
South Carolina(9/5/2025)
RR
Tennessee(9/5/2025)
IAR
Texas(9/2/2022)
RR
Texas(9/5/2025)
RR
Virginia(9/5/2025)
RR
Washington(9/5/2025)
RR
Wisconsin(9/5/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
