Brian Moody is a registered investment advisor, based in New York, NY, with 9 years of industry experience. Brian is also registered as a broker, so some compensation may come from commissions on products sold.
Location
400 Park Avenue, New York, NY, 10022
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Cnr Securities, LLC
July 2025 - Present · 1 yr 3 mos
RBC Rochdale, LLC
July 2025 - Present · 1 yr 3 mos
Cnr Securities, LLCBroker
July 2025 - Present · 1 yr 3 mos
Previous Registrations
Stifel, Nicolaus & Company, Incorporated
March 2020 - April 2025 · 5 yrs 1 mo
Stifel, Nicolaus & Company, IncorporatedBroker
March 2020 - April 2025 · 5 yrs 1 mo
Morgan Stanley
December 2016 - February 2020 · 3 yrs 2 mos
Morgan StanleyBroker
December 2016 - February 2020 · 3 yrs 2 mos
State Registrations7 states
CAFLNJNYPATNTX
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.
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