Zachary W. Brody
LUMIERE FINANCIAL
New York, NY 10017
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CRD#: 6108594
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 and PURSHE KAPLAN STERLING INVESTMENTS located in New York, New York.
Zachary is registered as an IAR (Investment Advisor Representative) and RR (Registered 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.
1. Name: InsureTech Brokerage LLC, Role: Member/Owner, Type: Fixed Insurance Brokerage, Start Date, 11/30/2021, Investment Related: Yes, Address: 675 3rd Avenue#920 New York, NY 10017, Number of Hours/Mo: 40, Number of Hrs during trading hours: 40, Duties: Manage the day-to-day operations _ 2. Name: Lumiere FinancialGroup LLC, Investment Related - Yes, Address: See Registered Branch Location, Nature: RIA & Insurance Firm, Position: Managing Partner/IAR, Start: 04/2021, Number oHours/Mo: 160, Number of Hrs during trading hours: 160, Duties: Management of the RIA, Compensation: Comb advisory fees and salary _ 3. Name: Purshe Kaplan SterlinInvestments, Investment Related - Yes, Address: See Registered Branch Location, Nature: Broker Dealer, Position: Registered Representative, Start: 08/2022, Number ofHours/Mo: 10, Number of Hrs during trading hours:10, Duties: Mr. Brody is a registered representative of BD Purshe Kaplan Sterling Investments, member FINRA/SIPC.He may offer products and receive normal and customary commissions as a result of these transactions. _ 4. Name: WealthBridge Financial Group LLC, Role: Executive Managing Director, Type: Insurance, Start Date: 1/20/2022, Investment Related: Yes, Address: See Registered Branch Office Location, Number of Hours/Mo: 15, Number of Hrs during trading hours: 15, Duties: leading strategic initiatives for this insurance firm, advisor coaching and development, and consulting on financials_ 5. Independent Licensed Insurance Agent, 09/2012, InvestmenRelated: Yes, Address: same as branch; Fixed Insurance _ 6. Forbes Councils; Investment related; 68 Harrison Ave Suite 605 Boston, MA 02111; Members-only community entrepreneurs & leaders; member/contributor; 8/1/2024; 1 hrs/mo; 1 hr during trading; Member of Forbes Councils._ 7. Brody Family Realty LLC. Investment related. 329 Shore Drive, Guilford, CT 06437. Holding company. Owner. Start date: 10/2025. 1 hr/month; during trading hours. Passive ownership only; no management authority, decision-making, or operational responsibilities.
CRS (Client Relationship Summary) - RIA
Click below to view Zachary Wyatt Brody'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: 2015
Experience
Current
May 6, 2022 - Present
LUMIERE FINANCIAL
Office #1: 675 Third Avenue Suite 920, New York, NY 10017RIA
CRD#: 319171
New York, NY
Current
August 1, 2022 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 675 Third Ave Suite 920, New York, NY 10017BD
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.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
Connecticut(8/1/2022)
IAR
Connecticut(2/13/2025)
RR
Florida(10/25/2022)
RR
Michigan(1/19/2023)
RR
New Jersey(8/1/2022)
IAR
New Jersey(4/29/2024)
IAR
New York(5/6/2022)
RR
New York(8/1/2022)
IAR
Texas(5/6/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
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)Upgrade to AdvisorCheck Premium
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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 (6 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 246 |
| 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.
