BM
Brett A. Mudd
HUNTLEIGH ADVISORS
St. Louis, MO 63105
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CRD#: 6502955
BM
Professional summary
Brett Anthony Mudd, who also goes by Brett Mudd, is a registered financial advisor currently at HUNTLEIGH ADVISORS, INC. located in St. Louis, Missouri and HUNTLEIGH SECURITIES CORPORATION located in St. Louis, Missouri.
Brett is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Brett has worked at 8 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Brett Mudd
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.
GUNDAKER COMMERICAL GROUP - Yes, Investment related; 55 Westport Plaza, Suite 200, St. Louis, MO 63043; Real Estate Activities; Independent Contractor; 08/01/2022; 4hrs/month; 0hrs/month during trading hours; I am an independent contractor and work as a real estate agent. I intend to keep for networking and prospecting purposes with limited work as real estate agent. SOTHEBY'S INTERNATIONAL REALTY - Yes, Investment related; 8301 Maryland Ave STE 100, St Louis, MO 63105; Real Estate Activities; Independent Contractor; 08/01/2022; 4hrs/month; 0hrs/month during trading hours; I am an independent contractor and work as a real estate agent. I intend to keep for networking and prospecting purposes with limited work as real estate agent. GUARDIAN LIFE INSURANCE - Not investment related; 625 Maryville Centre Dr., Suite 100, St. Louis, MO 63141; Insurance sales; Independent contractor; 01/2023; 10hrs/month; 0hrs/month during trading hours; life insurance sales MUDD & CO - Not Investment related; 8500 Maryland Avenue Apt 519 St Louis, MO 63124; LLC; 05/02/2017; Sole Owner; 0hrs/month; 0hrs/month during trading hours; Mudd & Co. which I am sole owner is an LLC created for business/tax purposes as an independent contractor. 1356 PUBLIC HOUSE - Not investment related; 1356 Big Bend Rd., Ballwin, MO 63021; Restaurant; Weekend day manager; 9/30/2023; 12-15hrs/month; 0hrs/month during trading hours; Restaurant manager
CRS (Client Relationship Summary) - RIA
Click below to view Brett Anthony Mudd'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
April 4, 2024 - Present
HUNTLEIGH ADVISORS, INC.
Office #1: 7800 Forsyth Blvd. 5th Floor, St. Louis, MO 63105RIA
CRD#: 113412
St. Louis, MO
Current
April 5, 2024 - Present
HUNTLEIGH SECURITIES CORPORATION
Office #1: 7800 Forsyth Blvd. 5th Floor, St. Louis, MO 63105BD
CRD#: 7456
St. Louis, MO
Past
November 22, 2023 - June 17, 2024
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
ST. LOUIS, MO
Past
November 22, 2023 - June 17, 2024
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
February 1, 2023 - September 18, 2023
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
Saint Louis, MO
Past
February 1, 2023 - September 18, 2023
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
Saint Louis, MO
Past
August 1, 2018 - June 9, 2021
LPL FINANCIAL LLC
RIA
CRD#: 6413
CHESTERFIELD, MO
Past
August 1, 2018 - June 9, 2021
LPL FINANCIAL LLC
BD
CRD#: 6413
CHESTERFIELD, MO
Past
October 2, 2017 - November 20, 2017
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
ST. LOUIS, MO
Past
September 27, 2017 - November 20, 2017
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
ST. LOUIS, MO
Past
April 21, 2017 - August 1, 2017
CUTTER & COMPANY, INC.
RIA
CRD#: 22449
ELLISVILLE, MO
Past
April 21, 2017 - August 1, 2017
CUTTER & COMPANY, INC.
BD
CRD#: 22449
BALLWIN, MO
Past
January 4, 2016 - February 7, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
CLAYTON, MO
Past
November 30, 2015 - February 7, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
CLAYTON, MO
Past
August 5, 2015 - October 12, 2015
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
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".
HA
HUNTLEIGH ADVISORS, INC.
HUNTLEIGH ADVISORS, INC. | THE HUNTLEIGH GROUP
CRD#: 113412 / SEC#: 801-62677
RIA
Registered Investment Advisory firm - (1/22/2004 Approved)Illinois
Registered Investment Advisory firm - (5/7/2004 Terminated)Missouri
Registered Investment Advisory firm - (11/17/2004 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
Florida(7/25/2024)
IAR
Florida(8/15/2024)
RR
Illinois(8/1/2024)
IAR
Illinois(8/1/2024)
IAR
Missouri(4/4/2024)
RR
Missouri(4/8/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 10/3/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
HA
HUNTLEIGH ADVISORS, INC.
HUNTLEIGH ADVISORS, INC. | THE HUNTLEIGH GROUP
CRD#: 113412 / SEC#: 801-62677
RIA
Registered Investment Advisory firm - (1/22/2004 Approved)Illinois
Registered Investment Advisory firm - (5/7/2004 Terminated)Missouri
Registered Investment Advisory firm - (11/17/2004 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
7800 Forsyth Blvd. 5th Floor, St. Louis, MO 63105
Mailing Address
Phone number
(314) 236-2400
Established
Firm type
Fiscal year end
# of Employees
55
SEC notice filing (38 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,628 |
| AUM (Assets Under Management) | $ 626,466,687 |
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
HUNTLEIGH ADVISORS, INC.
CRD#: 113412St. Louis, MO 63105TRUST BUT VERIFY
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