Samuel Moss
Samuel Moss is a registered investment advisor at Cetera Investment Advisers LLC, based in Melville, NY, with 44 years of industry experience. Samuel operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 584,487 clients with $160B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Location
1895 Walt Whitman Rd Ste 6, Melville, NY, 11747
Get directionsHistory
Regulatory History (10)
Judgment / Lien
October 2008Judgment / Lien
April 2008Criminal
July 2005Judgment / Lien
January 2005Customer Dispute
June 2003Customer Dispute
September 1999Employment Separation After Allegations
January 1999Customer Dispute
February 1998Customer Dispute
March 1993Judgment / Lien
December 1991Other 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
Cetera Wealth Services, LLCBroker
Previous Registrations
Cetera Advisor Networks LLC
North Ridge Securities CORP.Broker
Timecapital Securities CorporationBroker
Prudential Securities IncorporatedBroker
Dean Witter Reynolds INC.Broker
Shearson Lehman/american Express INC.Broker
Bruns, Nordeman, Rea & CO.Broker
State Registrations10 states
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.