Brian J. Mocogni

SAVVY

Cranston, RI

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CRD#: 5257866

Professional summary

Brian Joseph Mocogni, who also goes by Brian J Mocogni, is a registered financial advisor currently at SAVVY located in Cranston, Rhode Island.

Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Brian has worked at 8 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Brian J Mocogni

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.

Insurance Agent with Lincoln Heritage Insurance Company (dba Final Expense Insurance); Investment related; Start date: 9/01/2024; 10-15 hours per week.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Joseph Mocogni's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

May 27, 2025 - Present

SAVVY

RIA

CRD#: 318493

Cranston, RI

Past

September 19, 2023 - September 22, 2025

ALL THAT MATTERS FINANCIAL SERVICES LLP

RIA

CRD#: 16361

PROVIDENCE, RI

Past

April 23, 2007 - November 30, 2007

BOFA DISTRIBUTORS, INC.

CRD#: 30683

BOSTON, MA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SAVVY

CRD#: 318493 / SEC#: 801-123656

RIA

Registered Investment Advisory firm - (4/11/2022 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Rhode Island
(5/27/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/22/2013

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 1/10/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/8/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 7/16/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/5/2013

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/21/2007

Investment Company Products/Variable Contracts Representative Examination

Current Firm

SAVVY

CRD#: 318493 / SEC#: 801-123656

RIA

Registered Investment Advisory firm - (4/11/2022 Approved)

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Contact information

Main Address

111 West 33rd Street Unit 1410, New York, NY 10001

Mailing Address

Phone number

(833) 745-6789

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (38 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SAVVY ADV PART 2 (8/19/2025)

Regulatory assets under management

Total Number of Accounts	3,776
AUM (Assets Under Management)	$ 1,295,318,161

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.

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Advisor Monitoring

Firm Stability Insights

Brian J. Mocogni

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Joseph Mocogni's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALL THAT MATTERS FINANCIAL SERVICES LLP

THE WINDMILL GROUP, INC.

THE WINDMILL GROUP, INC.

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

MSI FINANCIAL SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

BOFA DISTRIBUTORS, INC.

Primary Firm SEC Registration

SAVVY

State Registrations and Notice Filings

Exams

Series 66

Date: 8/22/2013

Series 65

Date: 1/10/2008

Series 63

Date: 5/8/2007

SIE

Date: 7/16/2018

Series 7

Date: 8/5/2013

Series 6

Date: 4/21/2007

Current Firm

SAVVY

Contact information

SEC notice filing (38 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SAVVY

TRUST BUT VERIFY

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