SM
Steven T. Moss
CETERA INVESTMENT ADVISERS LLC
PANAMA CITY BEACH, FL 32407
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CRD#: 5151577
SM
Professional summary
Steven Thomas Moss, who also goes by Steve Thomas Moss, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Panama City Beach, Florida and CETERA WEALTH SERVICES, LLC located in Panama City Beach, Florida.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Steven has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Steve Thomas Moss
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. NAME OF OTHER BUSINESS: BAY COUNTY SCHOOL BOARD INVESTMENT RELATED: NO ADDRESS: 1311 BALBOA AVENUE PANAMA CITY, FL 32401 NATURE OF BUSINESS: EDUCATION START DATE: 11/2010 POSITION/TITLE/RELATIONSHIP: SCHOOL BOARD MEMBER APX NUMBER OF HOURS PER WEEK: 5 APX NUMBER OF HOURS DURING TRADING HOURS: 1 BRIEF DESCRIPTION OF DUTIES: ATTENDING REGULARLY SCHEDULED SCHOOL BOARD MEETINGS, VISIT DISTRICT SCHOOLS, VOTE/MAKE DECISIONS ON VARIOUS TOPICS THAT ARISE 2. NAME OF OTHER BUSINESS: MOSS WEALTH MANAGEMENT INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 01/2020 POSITION/TITLE/RELATIONSHIP: PRESIDENT APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 30 BRIEF DESCRIPTION OF DUTIES: OWNER AND SOLE PROPRIETOR
CRS (Client Relationship Summary) - RIA
Click below to view Steven Thomas Moss'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
May 15, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 309 Richard Jackson Boulevard Suite 205, Panama City Beach, FL 32407RIA
CRD#: 105644
PANAMA CITY BEACH, FL
Current
May 15, 2024 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 309 Richard Jackson Boulevard Suite 205, Panama City Beach, FL 32407BD
CRD#: 13572
Panama City Beach, FL
Past
March 19, 2009 - May 21, 2024
LPL FINANCIAL LLC
RIA
CRD#: 6413
PANAMA CITY BEACH, FL
Past
March 6, 2009 - May 21, 2024
LPL FINANCIAL LLC
BD
CRD#: 6413
PANAMA CITY BEACH, FL
Past
January 1, 2008 - March 10, 2009
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
PANAMA CITY, FL
Past
January 1, 2008 - March 10, 2009
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
PANAMA CITY, FL
Past
August 28, 2006 - January 1, 2008
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
PANAMA CITY, FL
Past
July 11, 2006 - January 3, 2008
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
PANAMA CITY, FL
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
Alabama(5/21/2024)
RR
Alaska(10/9/2024)
RR
Arkansas(5/15/2024)
RR
Florida(5/15/2024)
IAR
Florida(5/27/2024)
RR
Georgia(5/15/2024)
RR
Maine(5/15/2024)
RR
Oklahoma(7/30/2025)
RR
South Carolina(5/15/2024)
RR
Tennessee(5/15/2024)
RR
Texas(5/15/2024)
IAR
Texas(5/15/2024)
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
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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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Panama City Beach, FL 32407TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
