Benjamin Simon Moody
Professional Summary
Benjamin Simon Moody, who also goes by Benjamin Moody, is a registered financial advisor currently at CLEANBRIDGE SECURITIES, LLC located in Miami, Florida. Benjamin is registered as a RR (Registered Representative) and started their career in finance in 1993. Benjamin has worked at 3 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7, Series 14 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Benjamin Moody
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
25 years in the financial services industry
Current & Past Employments
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Current Firm
CLEANBRIDGE SECURITIES, LLC | PAF SECURITIES, LLC
Contact Information
Main Address
2601 S. Bayshore Drive Suite 1130, Miami, FL 33133Mailing Address
2601 S.. Bayshore Drive Suite 1130, Miami, FL 33133Phone Number
(305) 577-9799Established
Delaware since 03/29/2005Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (10 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(4/23/2013)
(3/5/2014)
(1/5/2021)
(11/29/2006)
(1/5/2021)
(3/7/2014)
(9/24/2012)
(4/30/2019)
(3/2/2015)
(2/21/2014)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Benjamin Simon Moody's CRS (Customer Relationship Summary).
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SUMMIT FINANCIAL, LLC
