DM
Davis A. Moeckel
CETERA INVESTMENT ADVISERS LLC
Clifton Park, NY 12065
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CRD#: 6897949
DM
Professional summary
Davis Alan Moeckel is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Clifton Park, New York and CETERA ADVISORS LLC located in Clifton Park, New York.
Davis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Davis has worked at 3 firms and has passed the Series 65, Series 63, 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. NAME OF OTHER BUSINESS: DAVIS MOECKEL; INVESTMENT RELATED: NO; ADDRESS: 499 2ND AVE APT 2 TROY, NEW YORK 12182; NATURE OF BUSINESS: OFFICE CLEANING; START DATE: 02/2023; POSITION/TITLE/RELATIONSHIP: SELF EMPLOYED; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: OFFICE CLEANING SERVICE; 2. 1. NAME OF OTHER BUSINESS: EMPIRE ASSET MANAGEMENT GROUP INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 01/2018 POSITION/TITLE/RELATIONSHIP: ADMINISTRATIVE ASSISTANT APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: ADMINISTRATIVE AND OPERATIONAL. 3. NAME OF OTHER BUSINESS: CCR WEALTH MANAGEMENT; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 01/2023, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 4. NAME OF OTHER BUSINESS: ABELSON AND COMPANY, LLC INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 03/2021, POSITION/TITLE/RELATIONSHIP: CLIENT SERVICES COORDINATOR, APX NUMBER OF HOURS PER WEEK: 20, APX NUMBER OF HOURS DURING TRADING HOURS: 20, BRIEF DESCRIPTION OF DUTIES: ADMIN, OPERATIONS; 5. NAME OF OTHER BUSINESS: EMPIRE ASSET MANAGEMENT GROUP OF WESTERN NY INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 03/2021, POSITION/TITLE/RELATIONSHIP: CLIENT SERVICES COORDINATOR, APX NUMBER OF HOURS PER WEEK: 20, APX NUMBER OF HOURS DURING TRADING HOURS: 20, BRIEF DESCRIPTION OF DUTIES: ADMIN, OPERATIONS;
CRS (Client Relationship Summary) - RIA
Click below to view Davis Alan Moeckel'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
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 6 Executive Park Drive Suite A, Clifton Park, NY 12065Office #2: 8060 Wehrle Dr, Williamsville, NY 14221RIA
CRD#: 105644
Clifton Park, NY
Current
April 18, 2023 - Present
CETERA ADVISORS LLC
Office #1: 6 Executive Park Drive, Suite A, Clifton Park, NY 12065Office #2: 6636 Main Street Suite 4, Williamsville, NY 14221BD
CRD#: 10299
Clifton Park, NY
Past
October 3, 2023 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
BRADENTON, FL
Past
June 13, 2018 - November 29, 2024
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
CLIFTON PARK, NY
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
New York(4/18/2023)
IAR
New York(3/21/2024)
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.
