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BM

Brogan G. Mooney

GERBER KAWASAKI WEALTH & INVESTMENT MANAGEMENT
SANTA MONICA, CA 90405
Some features on this profile are disabled
CRD#: 7148142
BM

Professional summary

Brogan Gerald Mooney is a registered financial advisor currently at GERBER KAWASAKI WEALTH & INVESTMENT MANAGEMENT located in Santa Monica, California.

Brogan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Brogan has worked at 5 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO, SIE and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

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 Brogan Gerald Mooney'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®
None

Experience

Current

August 25, 2025 - Present

GERBER KAWASAKI WEALTH & INVESTMENT MANAGEMENT

Office #1: 2437 Main Street, Santa Monica, CA 90405
RIA
CRD#: 153649
SANTA MONICA, CA
Past

March 31, 2025 - August 14, 2025

STRATEGIC ADVISERS LLC

RIA
CRD#: 104555
SANTA MONICA, CA
Past

July 30, 2024 - March 31, 2025

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA
CRD#: 288590
LOS ANGELES, CA
Past

October 18, 2023 - August 14, 2025

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
SANTA MONICA, CA
Past

July 2, 2022 - September 1, 2023

PURSHE KAPLAN STERLING INVESTMENTS

BD
CRD#: 35747
El Segundo, CA

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".
GK
GERBER KAWASAKI WEALTH & INVESTMENT MANAGEMENT
GERBER KAWASAKI FINANCIAL ADVISORS | GERBER, ROSS | GERBER KAWASAKI, INC. | GERBER KAWASAKI WEALTH & INVESTMENT MANAGEMENT

CRD#: 153649 / SEC#: 801-79339

RIA
Registered Investment Advisory firm - (3/14/2014 Approved)
California
Registered Investment Advisory firm - (4/17/2014 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.

Highlighted states indicate IAR registrations

IAR
California
(8/25/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 3/15/2024
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/14/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 12/7/2023
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6TO
Date: 7/2/2022
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 6/2/2022
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 9
Date: 5/21/2025
General Securities Sales Supervisor - Options Module Examination

Current Firm

GK
GERBER KAWASAKI WEALTH & INVESTMENT MANAGEMENT
GERBER KAWASAKI FINANCIAL ADVISORS | GERBER, ROSS | GERBER KAWASAKI, INC. | GERBER KAWASAKI WEALTH & INVESTMENT MANAGEMENT

CRD#: 153649 / SEC#: 801-79339

RIA
Registered Investment Advisory firm - (3/14/2014 Approved)
California
Registered Investment Advisory firm - (4/17/2014 Terminated)
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Contact information

Main Address
2437 Main Street, Santa Monica, CA 90405
Mailing Address
Phone number
(310) 399-6397
Established
Firm type
Fiscal year end
# of Employees
54

SEC notice filing (50 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

GERBER KAWASAKI, INC. ADV BROCHURE (5/12/2025)

Regulatory assets under management

Total Number of Accounts17,238
AUM (Assets Under Management)$ 3,191,645,341

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

GERBER KAWASAKI WEALTH & INVESTMENT MANAGEMENT

CRD#: 153649Santa Monica, CA 90405

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