SM
Samuel D. Moss
CETERA INVESTMENT ADVISERS LLC
MELVILLE, NY 11747
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CRD#: 718792
SM
Professional summary
Samuel David Moss, AIF® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Melville, New York and CETERA WEALTH SERVICES, LLC located in Melville, New York.
Samuel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1980. Samuel has worked at 8 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 3, Series 5, Series 7 and Series 8 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: FIXED INSURANCE WITH VARIOUS COMPANIES
INVESTMENT RELATED: YES
ADDRESS: SAME AS REGISTERED LOCATION
NATURE OF BUSINESS: FIXED INSURANCE
START DATE: 02/2019
APX NUMBER OF HOURS PER WEEK: VARIES
APX NUMBER OF HOURS DURING TRADING HOURS: VARIES
POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT
BRIEF DESCRIPTION OF DUTIES: SELLS LIFE HEALTH, DISABILITY AND LONG-TERM CARE
2. NAME OF OTHER BUSINESS: NORTH RIDGE WEALTH PLANNING LLC
INVESTMENT RELATED: YES
ADDRESS: SAME AS REGISTERED LOCATION
NATURE OF BUSINESS: FINANCIAL SERVICES
START DATE: 2/2019
POSITION/TITLE/RELATIONSHIP: ADVISOR - FINANCIAL SERVICES
APX NUMBER OF HOURS PER WEEK: 20-30
APX NUMBER OF HOURS DURING TRADING HOURS: 20-30
BRIEF DESCRIPTION OF DUTIES: ADVISOR - FINANCIAL SERVICES
3. NAME OF OTHER BUSINESS: 4M CAPITAL SERVICES, LLC DBA 4M CAPITAL AND RETIREMENT SERVICES
INVESTMENT RELATED: YES
ADDRESS: SAME AS REGISTERED LOCATION
NATURE OF BUSINESS: FINANCIAL SERVICES
START DATE: 01/1999
POSITION/TITLE/RELATIONSHIP: OWNER / PRESIDENT
APX NUMBER OF HOURS PER WEEK: 40
APX NUMBER OF HOURS DURING TRADING HOURS: 40
BRIEF DESCRIPTION OF DUTIES: DBA NAME FOR FINANCIAL SERVICES
CRS (Client Relationship Summary) - RIA
Click below to view Samuel David 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®
Experience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1895 Walt Whitman Rd Ste 6, Melville, NY 11747RIA
CRD#: 105644
MELVILLE, NY
Current
February 1, 2019 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 1895 Walt Whitman Rd Ste 6, Melville, NY 11747BD
CRD#: 13572
Melville, NY
Past
March 31, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
April 28, 2003 - February 1, 2019
NORTH RIDGE SECURITIES CORP.
BD
CRD#: 27098
EAST MEADOW, NY
Past
April 8, 1999 - March 3, 2003
TIMECAPITAL SECURITIES CORPORATION
BD
CRD#: 6845
PORT JEFFERSON STATION, NY
Past
February 3, 1994 - January 14, 1999
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
June 28, 1984 - February 1, 1994
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
July 17, 1981 - July 17, 1984
LEHMAN BROTHERS INC.
BD
CRD#: 7506
Past
November 20, 1980 - August 1, 1981
BRUNS, NORDEMAN, REA & CO.
BD
CRD#: 6589
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
Connecticut(2/1/2019)
RR
Florida(2/5/2019)
RR
Georgia(9/10/2021)
RR
Louisiana(7/7/2021)
RR
Maryland(2/1/2019)
RR
New Jersey(2/13/2019)
RR
New York(2/1/2019)
IAR
New York(6/29/2023)
RR
Rhode Island(2/1/2019)
RR
Virgin Islands(11/13/2024)
RR
Washington(4/12/2021)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 5
Date: 10/17/1981
Interest Rate Options ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
RR
Series 8
Date: 6/10/1991
General Securities Sales Supervisor Examination (Options Module & General Module)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.
