Brandon M. Moody
Professional summary
Brandon Michael Moody, who also goes by Brandon Moody, is a registered financial advisor currently at THOMPSON INVESTMENT ADVISORS located in Louisville, Kentucky.
Brandon is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Brandon has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Brandon Michael Moody's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 25, 2021 - Present
THOMPSON INVESTMENT ADVISORS
Office #1: 1000 Cherokee Road, Louisville, KY 40204-4270April 8, 2014 - January 13, 2021
AQUILA DISTRIBUTORS LLC
December 16, 2010 - March 28, 2014
JEFFERSON NATIONAL SECURITIES CORPORATION
November 13, 2009 - November 16, 2010
PNC WEALTH MANAGEMENT LLC
January 12, 2009 - November 13, 2009
NATCITY INVESTMENTS, INC.
November 20, 2007 - January 27, 2009
MSI FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(11/9/2021)
(1/25/2021)
(12/12/2024)
(11/16/2022)
(4/6/2022)
Exams
Current Firm
THOMPSON INVESTMENT ADVISORS
CRD#: 124034 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 403 |
| AUM (Assets Under Management) | $ 77,200,292 |
Red Flags
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Company Information
THOMPSON INVESTMENT ADVISORS
CRD#: 124034Louisville, KY 40204-4270TRUST BUT VERIFY
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