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SAMUEL DAVID MOSS
CRD#: 718792
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 1895 WALT WHITMAN RD STE 6
MELVILLE, NY 11747
CETERA ADVISOR NETWORKS LLCCRD#: 13572 1895 WALT WHITMAN RD STE 6
MELVILLE, NY 11747
Registration History
1980198519901995200020052010201520202025IACETERA INVESTMENT ADVISERS LLC (CRD# 105644)2023 - Present (1 year)BCETERA ADVISOR NETWORKS LLC (CRD# 13572)2019 - Present (6 years)BNORTH RIDGE SECURITIES CORP. (CRD# 27098)2003 - 2019 (15 years)BTIMECAPITAL SECURITIES CORPORATION (CRD# 6845)1999 - 2003 (3 years)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1994 - 1999 (4 years)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1984 - 1994 (9 years)BSHEARSON LEHMAN/AMERICAN EXPRE... (CRD# 7506)1981 - 1984 (3 years)BBRUNS, NORDEMAN, REA & CO. (CRD# 6589)1980 - 1981 (<1 year)IACETERA ADVISOR NETWORKS LLC (CRD# 13572)2021 - 2023 (2 years)
Disclosure(s)
View By:
10/10/2008
Judgment / Lien
4/3/2008
Judgment / Lien
7/24/2005
Criminal
Final Disposition
1/3/2005
Judgment / Lien
6/5/2003
Customer Dispute
Settled
9/9/1999
Customer Dispute
Settled
1/5/1999
Employment Separation After Allegations
2/3/1998
Customer Dispute
Settled
3/1/1993
Customer Dispute
Settled
12/18/1991
Judgment / Lien
License(s)

State Registrations

B
Connecticut 2/1/2019

B
New York 2/1/2019

B
Florida 2/5/2019

IA
New York 6/29/2023

B
Georgia 9/10/2021

B
Rhode Island 2/1/2019

B
Louisiana 7/7/2021

B
Virgin Islands 11/13/2024

B
Maryland 2/1/2019

B
Washington 4/12/2021

B
New Jersey 2/13/2019

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CETERA INVESTMENT ADVISERS LLC (CRD#:105644)
1895 WALT WHITMAN RD STE 6, MELVILLE, NY 11747
Registered with this firm since 6/29/2023

B
CETERA ADVISOR NETWORKS LLC (CRD#:13572)
1895 WALT WHITMAN RD STE 6, MELVILLE, NY 11747
Registered with this firm since 2/1/2019

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
03/31/2021 - 06/29/2023 CETERA ADVISOR NETWORKS LLC (CRD#:13572) EL SEGUNDO, CA
B
04/28/2003 - 02/01/2019 NORTH RIDGE SECURITIES CORP. (CRD#:27098) EAST MEADOW, NY
B
04/08/1999 - 03/03/2003 TIMECAPITAL SECURITIES CORPORATION (CRD#:6845) PORT JEFFERSON STATION, NY
B
02/03/1994 - 01/14/1999 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
06/28/1984 - 02/01/1994 DEAN WITTER REYNOLDS INC. (CRD#:7556) PURCHASE, NY
B
07/17/1981 - 07/17/1984 SHEARSON LEHMAN/AMERICAN EXPRESS INC. (CRD#:7506)
B
11/20/1980 - 08/01/1981 BRUNS, NORDEMAN, REA & CO. (CRD#:6589)
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B
Broker
IA
Investment Adviser
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.