Eric N. Moody
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.
Eric Nicholas Moody was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 2006. Eric had worked at 9 firms and has passed the Series 66, Series 52TO, SIE, Series 7, Series 51 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 8, 2020 - November 9, 2021
USAA INVESTMENT SERVICES COMPANY
January 8, 2018 - November 9, 2021
USAA INVESTMENT SERVICES COMPANY
September 19, 2013 - January 8, 2018
USAA FINANCIAL PLANNING SERVICES
September 19, 2013 - June 8, 2020
USAA FINANCIAL ADVISORS, INC.
October 1, 2012 - July 25, 2013
J.P. MORGAN SECURITIES LLC
October 1, 2012 - July 25, 2013
J.P. MORGAN SECURITIES LLC
December 16, 2010 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
December 16, 2010 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
July 14, 2010 - December 9, 2010
MAC ADAMS WEALTH ADVISORS, LLC
January 29, 2010 - December 23, 2010
LPL FINANCIAL LLC
May 18, 2007 - February 4, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 21, 2007 - February 4, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 4, 2006 - January 19, 2007
HORNOR, TOWNSEND & KENT, LLC
Primary Firm SEC Registration
USAA INVESTMENT SERVICES COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
USAA INVESTMENT SERVICES COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| USAA INVESTMENT CORPORATION (PARENT CO.) | SHAREHOLDER | |
| BEALL, KEVIN DOUGLAS | VICE PRESIDENT, DIRECTOR | 4202452 |
| CARTER, BRANDON DANE | DIRECTOR, CHAIRMAN OF THE BOARD | 2939393 |
| ECK, FRANK THOMAS IV | SECRETARY | 7979835 |
| FLORES, JENNIFER MARGRET | FINOP AND PRINCIPAL FINANCIAL OFFICER | 4175069 |
| HANKS, KARE ELIZABETH | DIRECTOR, VICE PRESIDENT | 2883762 |
| MUIR, JAMES DYER | CHIEF COMPLIANCE OFFICER | 2801996 |
| PEREZ-ROSSELLO, MADELINE IVETTE | ASSISTANT VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 4033239 |
| STORK, MARY ELIZABETH | DIRECTOR | 2960253 |
| WHITE, WILLIAM SWEENEY | PRESIDENT, VICE-CHAIRMAN, DIRECTOR | 4843743 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 4 |
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.
