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Samuel Moss

Cetera Investment Advisers LLC
45 Years of Experience
Melville, NY
10 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

Samuel Moss is a registered investment advisor at Cetera Investment Advisers LLC, based in Melville, NY, with 45 years of industry experience. Samuel is also registered as a broker, so some compensation may come from commissions on products sold. Their firm serves 813,961 clients with $260B in assets under management.

Cetera Investment Advisers LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10471 advisors
IM Fee
Planning only
Assets Under Management
$256.8B

Location

1895 Walt Whitman Rd Ste 6, Melville, NY, 11747

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History

Regulatory History (10)
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Judgment / Lien
October 2008
Judgment / Lien
April 2008
Criminal
July 2005
Final Disposition
Judgment / Lien
January 2005
Customer Dispute
June 2003
Settled
Customer Dispute
September 1999
Settled
Employment Separation After Allegations
January 1999
Customer Dispute
February 1998
Settled
Customer Dispute
March 1993
Settled
Judgment / Lien
December 1991
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Samuel is an insurance agent selling life, health, disability, and long-term care insurance. He also works as an advisor for North Ridge Wealth Planning LLC and is the owner/president of 4M Capital Services, LLC, spending about 10-20% of his time at North Ridge Wealth Planning LLC and about a quarter of his time at 4M Capital Services, LLC.

Employment History
Current Registrations
Cetera Investment Advisers LLC
June 2023 - Present · 3 yrs 4 mos
Cetera Wealth Services, LLCBroker
February 2019 - Present · 7 yrs 8 mos
Previous Registrations
Cetera Advisor Networks LLC
March 2021 - June 2023 · 2 yrs 3 mos
North Ridge Securities CORP.Broker
April 2003 - February 2019 · 15 yrs 10 mos
Timecapital Securities CorporationBroker
April 1999 - March 2003 · 3 yrs 11 mos
Prudential Securities IncorporatedBroker
February 1994 - January 1999 · 4 yrs 11 mos
Dean Witter Reynolds INC.Broker
June 1984 - February 1994 · 9 yrs 8 mos
Shearson Lehman/american Express INC.Broker
July 1981 - July 1984 · 3 yrs
Bruns, Nordeman, Rea & CO.Broker
November 1980 - August 1981 · 9 mos
State Registrations10 states
CTFLGALAMDNJNYRIVirgin IslandsWA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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