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HM

Herbert M. Moody

Some features on this profile are disabled
CRD#: 804608
HM

Professional summary

Herbert Maurice Moody JR, AIF®, who also goes by Bert Moody, Herbert M Moody Jr, was a registered financial advisor .

Herbert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1975. Herbert had worked at 11 firms and has passed the Series 63, SIE and Series 1 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Bert Moody | Herbert M Moody Jr

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.
Moorehead Plan Investments. Investment Related: Yes. Business Start Date: 7/1/2015. Address: 817 E. Morehead Street, Suite 300, Charlotte, NC 28202. Nature of Business: Pension consulting. Position/Title: President/Owner. Approximate number of hours per month: 160.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Herbert Maurice Moody JR'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®
AIF®

Accredited Investment Fiduciary

Experience

Past

June 28, 2024 - December 31, 2025

WELLTH ADVISORY SERVICES, LLC

RIA
CRD#: 330537
SHOREWOOD, IL
Past

January 15, 2021 - July 10, 2024

GLOBAL RETIREMENT PARTNERS LLC

RIA
CRD#: 172011
Charlotte, NC
Past

December 14, 2016 - December 14, 2020

LPL FINANCIAL LLC

RIA
CRD#: 6413
CHARLOTTE, NC
Past

December 14, 2016 - December 14, 2020

LPL FINANCIAL LLC

BD
CRD#: 6413
CHARLOTTE, NC
Past

April 12, 2013 - December 19, 2016

CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC

RIA
CRD#: 131631
CHARLOTTE, NC
Past

April 12, 2013 - December 19, 2016

CAPITAL GUARDIAN, LLC

BD
CRD#: 137919
CHARLOTTE, NC
Past

September 1, 1998 - April 17, 2013

WALNUT STREET SECURITIES, INC.

BD
CRD#: 15840
CHARLOTTE, NC
Past

May 8, 1997 - August 31, 1998

THE ADVISORS GROUP, INC.

BD
CRD#: 14035
BETHESDA, MD
Past

April 9, 1996 - March 4, 1997

AMERITAS INVESTMENT COMPANY, LLC

BD
CRD#: 14869
LINCOLN, NE
Past

May 31, 1994 - December 31, 1995

AMERITAS INVESTMENT COMPANY, LLC

BD
CRD#: 14869
LINCOLN, NE
Past

July 17, 1986 - May 18, 1994

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ
Past

April 11, 1984 - April 22, 1986

THE PAUL REVERE VARIABLE ANNUITY INSURANCE COMPANY

BD
CRD#: 647
Past

February 18, 1975 - October 14, 1982

SOUTHWESTERN MANAGEMENT & RESEARCH CORPORATION

BD
CRD#: 3461

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".
WA
WELLTH ADVISORY SERVICES, LLC
STRATEGIC RETIREMENT PARTNERS (SRP) | WELLTH ADVISORY SERVICES, LLC

CRD#: 330537 / SEC#: 801-130037

RIA
Registered Investment Advisory firm - (4/26/2024 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.

Highlighted states indicate IAR registrations

IAR
North Carolina
(6/28/2024)
IAR
Virginia
(6/28/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 10/13/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 1
Date: 2/10/1975
Registered Representative Examination

Current Firm

WA
WELLTH ADVISORY SERVICES, LLC
STRATEGIC RETIREMENT PARTNERS (SRP) | WELLTH ADVISORY SERVICES, LLC

CRD#: 330537 / SEC#: 801-130037

RIA
Registered Investment Advisory firm - (4/26/2024 Approved)
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Contact information

Main Address
Shorewood, IL
Mailing Address
Phone number
(866) 777-4015
Established
Firm type
Fiscal year end
# of Employees
72

SEC notice filing (44 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

WELLTH ADV WRAP BROCHURE (3/31/2025)
WELLTH ADV PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts2,338
AUM (Assets Under Management)$ 23,574,040,155

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

WELLTH ADVISORY SERVICES, LLC

CRD#: 330537

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