Samuel David Moss

Current Employers

Employment History

• 04/2003 → 02/2019
  North Ridge Securities Corp.
  Melville, NY
• 02/2019 → Present
  Cetera Wealth Services, Llc
  Melville, NY
• 01/1999 → Present
  4M Capital Services, Llc
  East Meadow, NY
• 06/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Other Businesses

1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 02/2019 APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE HEALTH, DISABILITY AND LONG-TERM CARE 2. NAME OF OTHER BUSINESS: NORTH RIDGE WEALTH PLANNING LLC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 2/2019 POSITION/TITLE/RELATIONSHIP: ADVISOR - FINANCIAL SERVICES APX NUMBER OF HOURS PER WEEK: 20-30 APX NUMBER OF HOURS DURING TRADING HOURS: 20-30 BRIEF DESCRIPTION OF DUTIES: ADVISOR - FINANCIAL SERVICES 3. NAME OF OTHER BUSINESS: 4M CAPITAL SERVICES, LLC DBA 4M CAPITAL AND RETIREMENT SERVICES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 01/1999 POSITION/TITLE/RELATIONSHIP: OWNER / PRESIDENT APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: DBA NAME FOR FINANCIAL SERVICES

Exams

• S66 Uniform Combined State Law Examination
  2007-04-09
• S65 Uniform Investment Adviser Law Examination
  1994-10-10
• S63 Uniform Securities Agent State Law Examination
  1983-02-01