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KM

Kevin W. Moody

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CRD#: 3054572
KM

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Kevin William Moody was a registered financial professional .

Kevin is a previously registered financial professional and started their career in finance in 2000. Kevin had worked at 4 firms and has passed the Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

October 8, 2008 - September 4, 2013

CROSSMARK DISTRIBUTORS, INC.

BD
CRD#: 14970
HOUSTON, TX
Past

December 6, 2004 - August 18, 2008

FIDELITY DISTRIBUTORS COMPANY LLC

BD
CRD#: 17507
LEWISVILLE, TX
Past

April 9, 2004 - November 4, 2004

VALIC FINANCIAL ADVISORS, INC.

BD
CRD#: 42803
HOUSTON, TX
Past

August 24, 2000 - August 13, 2002

AVANTAX INVESTMENT SERVICES, INC.

BD
CRD#: 13686
DALLAS, TX
Past

January 2, 2000 - July 26, 2000

VALIC FINANCIAL ADVISORS, INC.

BD
CRD#: 42803
HOUSTON, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 5/29/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/23/1999
General Securities Representative Examination

Current Firm

CD
CROSSMARK DISTRIBUTORS, INC.
CAPSTONE ASSET PLANNING COMPANY | TENNECO ASSET PLANNING COMPANY | CROSSMARK DISTRIBUTORS, INC.

CRD#: 14970 / SEC#: , 8-30994

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
15375 Memorial Drive Suite 200, Houston, TX 77079
Mailing Address
15375 Memorial Drive Suite 200, Houston, TX 77079
Phone number
(713) 260-9000
Established
Delaware since 11/09/1983
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
CROSSMARK GLOBAL HOLDINGS, INC.PARENT COMPANY
COPPEDGE, JIM ANTHONYGENERAL COUNSEL / CHIEF COMPLIANCE OFFICER / PRINCIPAL3275004
LINDSEY, HEATHER TREIGLEPRESIDENT / CHIEF EXECUTIVE OFFICER / DIRECTOR2646043
MIMS, PATRICIAFINOP6954516
WYNANT, SCOTT HOWARDEXECUTIVE VICE PRESIDENT / PRINCIPAL1037373

Disclosures

Regulatory Event2

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

CROSSMARK DISTRIBUTORS, INC.

CRD#: 14970

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