Jacquelin A. Moody
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Jacquelin Aline Moody, CFP®, who also goes by Jacquelin Aline Bruening, Jackie Moody, Jacqueline A Moody, Jacqueline Aline Moody, was a registered financial professional .
Jacquelin is a previously registered financial professional and started their career in finance in 1981. Jacquelin had worked at 18 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 6, Series 8 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1988
Experience
March 6, 2025 - April 10, 2026
LPL FINANCIAL LLC
March 6, 2025 - April 10, 2026
LPL FINANCIAL LLC
March 21, 2024 - April 11, 2025
CETERA INVESTMENT ADVISERS LLC
October 26, 2021 - November 3, 2023
M1 CAPITAL MANAGEMENT LLC
October 19, 2018 - December 31, 2020
PARK AVENUE WEALTH MANAGEMENT, LLC
October 31, 2017 - March 21, 2024
CETERA ADVISORS LLC
October 31, 2017 - April 11, 2025
CETERA ADVISORS LLC
December 21, 2010 - July 21, 2014
PARK AVENUE WEALTH MANAGEMENT, LLC
January 22, 2002 - November 7, 2017
LPL FINANCIAL LLC
November 24, 2000 - November 7, 2017
LPL FINANCIAL LLC
December 8, 1995 - February 10, 1997
BIRCHTREE FINANCIAL SERVICES LLC
June 30, 1995 - November 27, 2000
VOYA FINANCIAL ADVISORS, INC.
February 7, 1995 - December 15, 1995
FSIC
January 11, 1995 - February 14, 1995
MADISON GROUP SECURITIES INC.
March 30, 1993 - December 30, 1994
ROBERT THOMAS SECURITIES, INC
January 20, 1992 - April 6, 1993
NORTH AMERICAN FINANCIAL GROUP, INC.
July 5, 1989 - January 24, 1992
SIGMA FINANCIAL CORPORATION
November 24, 1987 - June 23, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
December 23, 1986 - January 24, 1992
SIGMA FINANCIAL CORPORATION
July 11, 1986 - May 25, 1990
PRUCO SECURITIES, LLC.
March 26, 1986 - November 30, 1987
SIGMA FINANCIAL CORPORATION
June 3, 1985 - April 1, 1986
LOCUST STREET SECURITIES, INC.
July 8, 1981 - June 21, 1985
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
July 8, 1981 - June 21, 1985
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 10/6/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| MORNINGSTAR, MATTHEW EDWIN | CHIEF LEGAL OFFICER | 2510742 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 214 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
