TM
Tray A. Moses
CETERA INVESTMENT ADVISERS LLC
SCHAUMBURG, IL 60173-2096
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CRD#: 6888160
TM
Professional summary
Tray Allan Moses is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Schaumburg, Illinois and CETERA WEALTH SERVICES, LLC located in Bellville, Texas.
Tray is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Tray has worked at 5 firms and has passed the Series 66, SIE and Series 7 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) Wehring Wealth Management, LLC~'IR'~105 S Mathews St~Bellville~TX~77418~Other~Employee~1/25/2021~120hrs~100hrs~Investment Advisor, Brokerage and Financial Planning Services, Client appointment and reviews. 2) DBHW WEALTH PARTNERS; POSITION: Financial Advisor NATURE: This is a branding name that represents some businesses within our organization currently disclosed on my U4. The businesses that fall under this brand are currently Hall Wehring CPAs and Wehring & DB Tax and Wealth. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 08/24/2022; 105 South Mathews, Bellville TX 77418; This is strictly a DBA we use for branding and marketing. There are no daily duties and responsibilities associated with this DBA. This DBA will appear on our email, social media, website, signage, and other marketing. 3) DB WEHRING WEALTH LLC POSITION: Financial Advisor NATURE: This entity is providing financial planning and investment services INVESTMENT RELATED: No NUMBER OF HOURS: 130 SECURITIES TRADING HOURS: 110 START DATE: 01/01/2023 ADDRESS: 105 South Mathews, Bellville TX 77418, United States DESCRIPTION: financial planning, investment advisory services, insurance planning, practice management 4) TM WEALTH POSITION: Financial Professional NATURE: Provide investment, insurance, and/or other financial products or services available in partnership with other Avantax Financial Professionals and to refer suitable and qualified clients to the Planning Financial Professional for assistance with their investment-related goals and objectives. INVESTMENT RELATED: Yes NUMBER OF HOURS: 12 SECURITIES TRADING HOURS: 12 START DATE: 04/17/2023 ADDRESS: 199 W Chatham St, Bellville TX 77418, United States DESCRIPTION: Provide investment, insurance, and/or other financial products or services available in partnership with other Avantax Financial Professionals and to refer suitable and qualified clients to the Planning Financial Professional for assistance with their investment-related goals and objectives.
CRS (Client Relationship Summary) - RIA
Click below to view Tray Allan Moses'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: 1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096RIA
CRD#: 105644
SCHAUMBURG, IL
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 105 S Mathews St, Bellville, TX 77418BD
CRD#: 13572
Bellville, TX
Past
January 21, 2021 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Bellville, TX
Past
January 21, 2021 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Bellville, TX
Past
June 4, 2018 - January 22, 2021
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
CRD#: 18387
Brenham, TX
Past
May 10, 2018 - January 22, 2021
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
Brenham, TX
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
Texas(9/5/2025)
IAR
Texas(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
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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.
