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Detailed Report
LANCE ALLAN MOODY
CRD#: 2411418
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 2255 GLADES RD
STE 324A
BOCA RATON, FL 33431
CETERA INVESTMENT SERVICES LLCCRD#: 15340 2255 GLADES RD
SUITE 324A
BOCA RATON, FL 33431
Registration History
19952000200520102015202020252 FIRMS2013 - 2017 (3 years)2 FIRMS2017 - 2020 (3 years)2 FIRMS2020 - Present (5 years)BMAXIM GROUP LLC (CRD# 120708)2010 - 2013 (3 years)BRAYMOND JAMES FINANCIAL SERVIC... (CRD# 6694)2004 - 2010 (5 years)BGILFORD SECURITIES INCORPORATED (CRD# 8076)2002 - 2004 (1 year)BWACHOVIA SECURITIES, INC. (CRD# 19616)2000 - 2002 (2 years)BJANNEY MONTGOMERY SCOTT LLC (CRD# 463)1998 - 2000 (1 year)BPAINEWEBBER INCORPORATED (CRD# 8174)1994 - 1998 (3 years)BLEHMAN BROTHERS INC. (CRD# 7506)1993 - 1994 (<1 year)IARAYMOND JAMES FINANCIAL SERVIC... (CRD# 149018)2009 - 2010 (1 year)IARAYMOND JAMES FINANCIAL SERVICES (CRD# 6694)2006 - 2009 (2 years)
Disclosure(s)
View By:
1/22/2014
Customer Dispute
Denied
10/8/1998
Customer Dispute
Closed-No Action
License(s)

State Registrations

B
California 3/27/2020
B
New Jersey 3/27/2020
B
Colorado 3/27/2020
B
New Mexico 3/27/2020
B
Florida 3/27/2020
B
New York 3/27/2020
IA
Florida 4/27/2020
B
Pennsylvania 3/27/2020

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CETERA INVESTMENT ADVISERS LLC (CRD#:105644)
2255 GLADES RD STE 324A, BOCA RATON, FL 33431
Boca Raton, FL
Registered with this firm since 4/27/2020
B
CETERA INVESTMENT SERVICES LLC (CRD#:15340)
2255 GLADES RD SUITE 324A, BOCA RATON, FL 33431
Boca Raton, FL
Registered with this firm since 3/27/2020
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 03/29/2017 - 03/30/2020 AEGIS CAPITAL CORP. (CRD#:15007) BOCA RATON, FL
B
 02/17/2017 - 03/30/2020 AEGIS CAPITAL CORP. (CRD#:15007) BOCA RATON, FL
IA
 12/11/2013 - 02/23/2017 NATIONAL ASSET MANAGEMENT, INC. (CRD#:115927) WESTBURY, NY
B
 11/22/2013 - 02/23/2017 NATIONAL SECURITIES CORPORATION (CRD#:7569) WESTBURY, NY
B
 04/26/2010 - 12/09/2013 MAXIM GROUP LLC (CRD#:120708) WOODBURY, NY
IA
 01/02/2009 - 04/26/2010 RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC (CRD#:149018) MELVILLE, NY
B
 10/15/2004 - 04/26/2010 RAYMOND JAMES FINANCIAL SERVICES, INC. (CRD#:6694) MELVILLE, NY
IA
 02/03/2006 - 01/02/2009 RAYMOND JAMES FINANCIAL SERVICES (CRD#:6694) MELVILLE, NY
B
 12/09/2002 - 10/20/2004 GILFORD SECURITIES INCORPORATED (CRD#:8076) NEW YORK, NY
B
 01/12/2000 - 12/09/2002 WACHOVIA SECURITIES, INC. (CRD#:19616) ST. LOUIS, MO
B
 02/25/1998 - 01/26/2000 JANNEY MONTGOMERY SCOTT LLC (CRD#:463) PHILADELPHIA, PA
B
 05/02/1994 - 03/03/1998 PAINEWEBBER INCORPORATED (CRD#:8174) WEEHAWKEN, NJ
B
 11/08/1993 - 05/09/1994 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.