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RIA / WealthAdvisordual registered (broker-dealer)32 years in industry

LANCE ALLAN MOODY

Advisor at CETERA INVESTMENT ADVISERS LLC

BOCA RATON, FL | Boca Raton, FL

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 2:50 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Feb 3, 2006 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CETERA INVESTMENT ADVISERS LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 11, 1993earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Nov 11, 1993
First registration: Feb 3, 2006
Dual registered: yes, broker-dealer
Other names: LANCE ALLAN MOODY
IAPD individual key: 2411418

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Apr 27, 2020	n/a	yes	BOCA RATON, FL\|Boca Raton, FL	Current employment
AEGIS CAPITAL CORP.	Bd affiliated wealth	Mar 29, 2017	Mar 30, 2020	no	MELVILLE, NY\|BOCA RATON, FL	Previous registration
B. RILEY WEALTH ADVISORS, INC.	Bd affiliated wealth	Dec 11, 2013	Feb 23, 2017	no	WESTBURY, NY	Previous registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Bd affiliated wealth	Jan 2, 2009	Apr 26, 2010	no	SAINT PETERSBURG, FL\|MELVILLE, NY	Previous registration
RAYMOND JAMES FINANCIAL SERVICES, INC.	n/a	Feb 3, 2006	Jan 2, 2009	no	MELVILLE, NY	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
AEGIS CAPITAL CORP.	CETERA INVESTMENT ADVISERS LLC	Mar 30, 2020	Apr 27, 2020	28	Firm change	Ibd to ibd
B. RILEY WEALTH ADVISORS, INC.	AEGIS CAPITAL CORP.	Feb 23, 2017	Mar 29, 2017	34	Firm change	Other
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	B. RILEY WEALTH ADVISORS, INC.	Apr 26, 2010	Dec 11, 2013	1,325	Firm change after gap	Other
RAYMOND JAMES FINANCIAL SERVICES, INC.	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Jan 2, 2009	Jan 2, 2009	0	Bulk transfer	Other

Relationships

Registered with (5)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Apr 27, 2020 to presentfactForm ADV
→ AEGIS CAPITAL CORP.Registered adviserregistration: previous registration
Mar 29, 2017 to Mar 30, 2020factForm ADV
→ B. RILEY WEALTH ADVISORS, INC.Registered adviserregistration: previous registration
Dec 11, 2013 to Feb 23, 2017factForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: previous registration
Jan 2, 2009 to Apr 26, 2010factForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Feb 3, 2006 to Jan 2, 2009factForm ADV

Dated events

No dated event names this entity yet.