KM
Kristopher D. Moody
BARON SILVER STEVENS FINANCIAL ADVISORS
Boca Raton, FL 33431
Some features on this profile are disabled
CRD#: 5527753
KM
Professional summary
Kristopher David Moody, CFP®, who also goes by Kris Moody, is a registered financial advisor currently at BARON SILVER STEVENS FINANCIAL ADVISORS, LLC located in Boca Raton, Florida and OSAIC WEALTH, INC. located in Boca Raton, Florida.
Kristopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Kristopher has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kris Moody
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.
1. BARON SILVER STEVENS FINANCIAL ADVISORS LLC POSITION: Wealth Advisor NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 05/23/2011 ADDRESS: 4800 N Federal Highway, Suite 210A, Boca Raton FL 33431, United States DESCRIPTION: Assist clients 2. BARON SILVER STEVENS FINANCIAL ADVISORS LLC POSITION: Wealth Advisor NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 05/23/2011 ADDRESS: 4800 N Federal Highway, Suite 210A, Boca Raton FL 33431, United States DESCRIPTION: Registered Investment Advisor Assist clientsW-2 Employee of Baron Silver Stevens 3. BARON SILVER STEVENS FINANCIAL ADVISORS POSITION: Wealth Advisor NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 05/23/2011 ADDRESS: 4800 N Federal Hwy, Suite 210A, Boca Raton FL 33431, United States DESCRIPTION: Life Insurance / Fixed Annuities, w-2 employee, Assist with clients 4. FLORIDA ATLANTIC UNIVERSITY POSITION: Adjunct Professor NATURE: University Non Profit INVESTMENT RELATED: No NUMBER OF HOURS: 9 SECURITIES TRADING HOURS: 9 START DATE: 06/01/2024 ADDRESS: 777 Glades Road, Boca Raton FL 33431, United States DESCRIPTION: Paid Adjunct Professor Teach financial and estate planning course
CRS (Client Relationship Summary) - RIA
Click below to view Kristopher David Moody'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®
CFP®
Start date: 2014
Experience
Current
August 22, 2012 - Present
BARON SILVER STEVENS FINANCIAL ADVISORS, LLC
Office #1: 4800 N. Federal Highway Suite 210-a, Boca Raton, FL 33431RIA
CRD#: 126767
Boca Raton, FL
Current
July 18, 2011 - Present
OSAIC WEALTH, INC.
Office #1: 4800 North Federal Hwy. Suite 210a, Boca Raton, FL 33431RIA
BD
CRD#: 23131
Boca Raton, FL
Past
January 20, 2010 - December 22, 2010
FIRSTMERIT ADVISORS, INC.
RIA
CRD#: 125249
AKRON, OH
Past
January 14, 2010 - May 2, 2011
FIRSTMERIT FINANCIAL SERVICES, INC
BD
CRD#: 149680
AKRON, OH
Past
September 24, 2009 - January 14, 2010
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
AKRON, OH
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".
BS
BARON SILVER STEVENS FINANCIAL ADVISORS, LLC
BARON SILVER STEVENS FINANCIAL ADVISORS, LLC
CRD#: 126767 / SEC#: 801-69482
RIA
Registered Investment Advisory firm - (8/5/2008 Approved)Florida
Registered Investment Advisory firm - (8/7/2008 Terminated)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
Arizona(1/3/2024)
RR
California(12/19/2024)
RR
Colorado(4/17/2023)
RR
Connecticut(1/25/2023)
RR
District of Columbia(1/24/2023)
RR
Florida(7/18/2011)
IAR
Florida(8/22/2012)
RR
Georgia(2/9/2023)
RR
Louisiana(1/24/2023)
RR
Maine(1/25/2023)
RR
Massachusetts(4/17/2023)
RR
Michigan(1/8/2025)
RR
Minnesota(4/17/2023)
RR
New Jersey(2/9/2023)
RR
New Mexico(2/9/2023)
RR
New York(2/9/2023)
RR
North Carolina(2/9/2023)
RR
Ohio(4/17/2023)
RR
Pennsylvania(8/12/2024)
RR
Rhode Island(10/2/2023)
RR
South Carolina(4/17/2023)
RR
Tennessee(3/11/2025)
RR
Texas(2/2/2023)
IAR
Texas(10/12/2023)
RR
Virginia(2/3/2023)
RR
Washington(8/9/2023)
RR
Wisconsin(2/9/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
BS
BARON SILVER STEVENS FINANCIAL ADVISORS, LLC
BARON SILVER STEVENS FINANCIAL ADVISORS, LLC
CRD#: 126767 / SEC#: 801-69482
RIA
Registered Investment Advisory firm - (8/5/2008 Approved)Florida
Registered Investment Advisory firm - (8/7/2008 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
4800 N. Federal Highway Suite 210-a, Boca Raton, FL 33431
Mailing Address
Phone number
(561) 447-1997
Established
Firm type
Fiscal year end
# of Employees
11
SEC notice filing (14 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,680 |
| AUM (Assets Under Management) | $ 1,011,802,288 |
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.
Company Information
BARON SILVER STEVENS FINANCIAL ADVISORS, LLC
CRD#: 126767Boca Raton, FL 33431TRUST BUT VERIFY
Monitor Kristopher Moody
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
