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Brian Moody
CITY NATIONAL ROCHDALE
New York, NY 10022
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CRD#: 6503273
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Professional summary
Brian Moody, who also goes by Brian F Moody, Brian Foster Moody, is a registered financial advisor currently at CITY NATIONAL ROCHDALE located in New York, New York and CNR SECURITIES, LLC located in New York, New York.
Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Brian has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Brian F Moody | Brian Foster 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) the name of the other business; - Toastmasters International - Ridgewood Club whether the business is investment-related; non investment-related the address of the other business; - Ridgewood Club: No Physical Address, meetings typically take place at Trinity Presbyterian Church (Fruitful Life) 722 E Ridgewood Ave, Ridgewood, NJ 07450 the nature of the other business; - To improve ones leadership and communication skills - there are multiple CNB toastmasters clubs your position/title/relationship with the other business; - Committee Member, Officer, Other - Role: Ridgewood Treasurer Committee Membership: Club Executive Committee the start date of your relationship; - 2025-07-01 the approximate number of hours/month you devote to the other business; - 5 the number of hours you devote to the other business during securities trading hours; - 0 briefly describe your duties relating to the other business; - As Treasurer, you are the club's accountant. You manage the club's bank account, write checks as approved by the executive committee, and deposit membership dues payments and other club revenues. You are also in charge of submitting membership dues payments to World Headquarters (accompanied by the names of renewing members), filing necessary tax documents, and keeping timely, accurate, up-to-date financial records for the club. (2) the name of the other business; - Toastmasters International - District 83 whether the business is investment-related; non investment-related the address of the other business; - International Organization: 9127 S. Jamaica Street, Suite 400 Englewood, CO 80112. District 83: No physical address, meetings are 100% held on Zoom the nature of the other business; - To improve ones leadership and communication skills - there are multiple CNB toastmasters clubs your position/title/relationship with the other business; - Director, Committee Member, Officer the start date of your relationship; - 2025-07-01 the approximate number of hours/month you devote to the other business; - 10 the number of hours you devote to the other business during securities trading hours; - 0 briefly describe your duties relating to the other business; - Budgeting, Profit and Loss Statements, District Assets and Inventory.
CRS (Client Relationship Summary) - RIA
Click below to view Brian 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®
NoneExperience
Current
July 1, 2025 - Present
CITY NATIONAL ROCHDALE
Office #1: 400 Park Avenue, New York, NY 10022RIA
CRD#: 117198
New York, NY
Current
July 1, 2025 - Present
CNR SECURITIES, LLC
Office #1: 400 Park Avenue 6th Floor, New York, NY 10022BD
CRD#: 18466
NEW YORK, NY
Past
March 5, 2020 - April 30, 2025
STIFEL, NICOLAUS & COMPANY, INCORPORATED
RIA
CRD#: 793
NEW YORK, NY
Past
March 4, 2020 - April 30, 2025
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
NEW YORK, NY
Past
December 8, 2016 - February 25, 2020
MORGAN STANLEY
RIA
CRD#: 149777
FLORHAM PARK, NJ
Past
December 7, 2016 - February 25, 2020
MORGAN STANLEY
BD
CRD#: 149777
FLORHAM PARK, NJ
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".
CN
CITY NATIONAL ROCHDALE
CITY NATIONAL ROCHDALE | ROCHDALE INVESTMENT MANAGEMENT LLC | ROCHDALE INVESTMENT MANAGEMENT | CITY NATIONAL ROCHDALE, LLC
CRD#: 117198 / SEC#: 801-27265
RIA
Registered Investment Advisory firm - (6/20/1986 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(7/1/2025)
RR
Florida(7/1/2025)
RR
New Jersey(7/1/2025)
IAR
New Jersey(7/2/2025)
RR
New York(7/1/2025)
IAR
New York(7/1/2025)
RR
Pennsylvania(7/1/2025)
RR
Tennessee(7/1/2025)
RR
Texas(7/1/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CN
CITY NATIONAL ROCHDALE
CITY NATIONAL ROCHDALE | ROCHDALE INVESTMENT MANAGEMENT LLC | ROCHDALE INVESTMENT MANAGEMENT | CITY NATIONAL ROCHDALE, LLC
CRD#: 117198 / SEC#: 801-27265
RIA
Registered Investment Advisory firm - (6/20/1986 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
400 Park Avenue 10th Floor, New York, NY 10022
Mailing Address
Phone number
(212) 702-3500
Established
Firm type
Fiscal year end
# of Employees
235
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 41,300 |
| AUM (Assets Under Management) | $ 68,177,828,012 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 10/27/2023 |
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.
