Brian L. Moffett
Professional summary
Brian Lee Moffett is a registered financial advisor currently at TRUIST ADVISORY SERVICES, INC. located in Fairfax, Virginia and TRUIST INVESTMENT SERVICES, INC. located in Burke, Virginia.
Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Brian has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Brian Lee Moffett's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 21, 2016 - Present
TRUIST ADVISORY SERVICES, INC.
Office #1: 4020 University Dr, Fairfax, VA 22030August 26, 2014 - Present
TRUIST INVESTMENT SERVICES, INC.
Office #1: 6052 Burke Commons Rd, Burke, VA 22015Office #2: 6216 Rolling Rd, Springfield, VA 22152Office #3: 4020 University Dr Fl 2, Fairfax, VA 22030Office #4: 9400 Richmond Hwy, Lorton, VA 22079Office #5: 1301 Chain Bridge Rd, Mclean, VA 22101Office #6: 1455 Chain Bridge Rd, Mclean, VA 22101August 26, 2014 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
September 1, 2006 - August 27, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 11, 2006 - August 27, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 15, 2003 - September 14, 2006
OPPENHEIMER ASSET MANAGEMENT
January 3, 2003 - April 15, 2003
OPPENHEIMER & CO. INC.
January 3, 2003 - September 13, 2006
OPPENHEIMER & CO. INC.
November 27, 2000 - January 3, 2003
CIBC WORLD MARKETS CORP.
April 11, 2000 - January 3, 2003
CIBC WORLD MARKETS CORP.
Primary Firm SEC Registration
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/11/2018)
(5/31/2019)
(2/7/2019)
(7/23/2018)
(7/23/2018)
(10/15/2018)
(8/26/2014)
(3/6/2019)
(6/6/2017)
(7/23/2018)
(2/7/2019)
(2/7/2019)
(2/7/2019)
(8/26/2014)
(5/31/2019)
(2/7/2019)
(2/7/2019)
(2/7/2019)
(7/23/2018)
(5/10/2018)
(7/23/2018)
(7/23/2018)
(5/10/2018)
(7/23/2018)
(8/26/2014)
(7/23/2018)
(6/19/2017)
(7/23/2018)
(10/15/2018)
(5/31/2019)
(8/26/2014)
(9/21/2016)
(10/15/2018)
(5/31/2019)
(2/7/2019)
Exams
FINRA
Current Firm
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 124,363 |
| AUM (Assets Under Management) | $ 67,736,740,585 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/24/2025 | ||
| 03/28/2024 | ||
| 04/26/2023 |
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.
