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The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

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Zachary Wyatt Brody

Zachary W. Brody

LUMIERE FINANCIAL
New York, NY 10017
Some features on this profile are disabled
CRD#: 6108594
Zachary Wyatt Brody

Professional summary

Zachary Wyatt Brody, CFP®, ChFC®, who also goes by Zach Brody, Zachary Wyatt Brody, Zachary Brody, is a registered financial advisor currently at LUMIERE FINANCIAL located in New York, New York.

Zachary is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Zachary has worked at 8 firms and has passed the Series 66, Series 99TO, SIE, Series 7, Series 10, Series 9 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Zach Brody | Zachary Wyatt Brody | Zachary Brody

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Zachary Wyatt Brody'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®
CFP®

Certified Financial Planner

Start date: 2015

ChFC®

Chartered Financial Consultant

Experience

Current

May 6, 2022 - Present

LUMIERE FINANCIAL

Office #1: 675 Third Avenue Suite 920, New York, NY 10017
RIA
CRD#: 319171
New York, NY
Past

August 1, 2022 - December 1, 2025

PURSHE KAPLAN STERLING INVESTMENTS

BD
CRD#: 35747
New York, NY
Past

November 1, 2021 - May 20, 2022

AMERITAS ADVISORY SERVICES, LLC

RIA
CRD#: 317245
New York, NY
Past

May 15, 2021 - November 1, 2021

AMERITAS INVESTMENT COMPANY, LLC

RIA
CRD#: 14869
New York, NY
Past

May 14, 2021 - May 20, 2022

AMERITAS INVESTMENT COMPANY, LLC

BD
CRD#: 14869
New York, NY
Past

July 31, 2020 - April 16, 2021

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA
CRD#: 2881
MELVILLE, NY
Past

July 30, 2020 - April 16, 2021

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
MELVILLE, NY
Past

May 9, 2016 - July 16, 2020

PRUCO SECURITIES, LLC.

RIA
CRD#: 5685
NEW YORK, NY
Past

April 27, 2016 - July 16, 2020

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEW YORK, NY
Past

January 8, 2014 - April 22, 2016

MSI FINANCIAL SERVICES, INC.

RIA
CRD#: 14251
SHELTON, CT
Past

October 9, 2013 - April 22, 2016

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
SHELTON, CT
Past

January 18, 2013 - August 30, 2013

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
HAMDEN, CT
Past

September 11, 2012 - August 30, 2013

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
HAMDEN, CT

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".
LF
LUMIERE FINANCIAL
LUMIERE FINANCIAL | LUMIERE FINANCIAL GROUP LLC | LUMIERE FINANCIAL GROUP

CRD#: 319171 / SEC#: 801-123638

RIA
Registered Investment Advisory firm - (4/6/2022 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
Connecticut
(2/13/2025)
IAR
New Jersey
(4/29/2024)
IAR
New York
(5/6/2022)
IAR
Texas
(5/6/2022)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/1/2012
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/10/2012
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/29/2021
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 12/4/2020
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/20/2015
General Securities Principal Examination

Current Firm

LF
LUMIERE FINANCIAL
LUMIERE FINANCIAL | LUMIERE FINANCIAL GROUP LLC | LUMIERE FINANCIAL GROUP

CRD#: 319171 / SEC#: 801-123638

RIA
Registered Investment Advisory firm - (4/6/2022 Approved)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
675 Third Avenue Suite 920, New York, NY 10017
Mailing Address
Phone number
(212) 516-5900
Established
Firm type
Fiscal year end
# of Employees
7

SEC notice filing (5 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

LUMIERE FINANCIAL GROUP LLC (10/29/2025)

Regulatory assets under management

Total Number of Accounts246
AUM (Assets Under Management)$ 59,927,014

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

LUMIERE FINANCIAL

CRD#: 319171New York, NY 10017

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