Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
KATIE J MOSS
CRD#: 4812719
IA
Investment Adviser
B
Broker
CWM, LLCCRD#: 155344 4650 Moore St.
Okemos, MI 48864
CETERA ADVISOR NETWORKS LLCCRD#: 13572 4650 MOORE ST
OKEMOS, MI 48864
Registration History
200620082010201220142016201820202022202420262 FIRMS2017 - Present (8 years)BLPL FINANCIAL LLC (CRD# 6413)2005 - 2017 (11 years)IACETERA ADVISOR NETWORKS LLC (CRD# 13572)2017 - 2017 (<1 year)
License(s)

State Registrations

B
Michigan 1/17/2017
IA
Michigan 2/17/2017

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
CWM, LLC (CRD#:155344)
4650 Moore St., Okemos, MI 48864
Registered with this firm since 2/17/2017
B
CETERA ADVISOR NETWORKS LLC (CRD#:13572)
4650 MOORE ST, OKEMOS, MI 48864
Registered with this firm since 1/17/2017
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/17/2017 - 02/16/2017 CETERA ADVISOR NETWORKS LLC (CRD#:13572) EL SEGUNDO, CA
B
 07/08/2005 - 01/19/2017 LPL FINANCIAL LLC (CRD#:6413) EAST LANSING, MI
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.