BM
Brennan J. Moore
KESTRA ADVISORY SERVICES
NORWELL, MA 02061
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CRD#: 5402521
BM
Professional summary
Brennan James Moore is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Norwell, Massachusetts and KESTRA INVESTMENT SERVICES, LLC located in Norwell, Massachusetts.
Brennan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Brennan has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
Business Name: NFP Retirement, Inc. dba 401(k) Advisors Investment Related: Yes Address: 120 Vantis Aliso Viejo CA 92656 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name Position, Title or Relationship: Retirement Plan Analyst Start Date: 4/1/2015 Hours per month: 21% - 30% (33 - 48 hours) Hours per month during trading hours: 21% - 30% (29 - 42 hours) Duties: Reviews of investments in corporate retirement plansBusiness Name: NFP Corporate Services, Inc. Investment Related: Yes Address: 340 Madison Ave, 20th Floor New York NY 10173 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name Position, Title or Relationship: Retirement Plan Analyst Start Date: 4/1/2015 Hours per month: 21% - 30% (33 - 48 hours) Hours per month during trading hours: 21% - 30% (29 - 42 hours) Duties: Investment Reviews of corporate retirement plans
CRS (Client Relationship Summary) - RIA
Click below to view Brennan James Moore's 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®
NoneExperience
Current
February 20, 2018 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 141 Longwater Drive Suite 101, Norwell, MA 02061RIA
CRD#: 283330
NORWELL, MA
Current
April 15, 2015 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 141 Longwater Drive Suite 101, Norwell, MA 02061BD
CRD#: 42046
Norwell, MA
Past
September 2, 2015 - February 5, 2018
WEALTHSPIRE RETIREMENT ADVISORY
RIA
CRD#: 121254
BOSTON, MA
Past
September 10, 2007 - March 20, 2015
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
NEW YORK, NY
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".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(4/15/2015)
RR
Maryland(1/9/2025)
RR
Massachusetts(4/15/2015)
IAR
Massachusetts(2/20/2018)
RR
North Carolina(4/25/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330Norwell, MA 02061TRUST BUT VERIFY
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