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RIA / WealthAdvisordual registered (broker-dealer)39 years in industry

Michael C Moody

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Bridgewater, NJ | PENNINGTON, NJ

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Search this name across graphsid dfx:ria:3bc203bb-5485-8ac3-8274-437d7e1a1360

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:20 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jun 4, 2003 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 22, 1986earliest registration or exam on IAPD
Years in industry: 39derivedfrom the industry start date
Years at current firm: 17derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Dec 22, 1986
First registration: Jun 4, 2003
Dual registered: yes, broker-dealer
Other names: MICHAEL CHRISTOPHER MOODY|MICHAEL MOODY
IAPD individual key: 1608247

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Apr 15, 2009	n/a	yes	Bridgewater, NJ\|PENNINGTON, NJ	Current employment
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Jan 12, 2005	Apr 1, 2009	no	BEDMINSTER, NJ\|BEDMINSTER, NJ	Previous registration
PNC WEALTH MANAGEMENT	Bd affiliated wealth	Jan 1, 2004	Jan 14, 2005	no	PRINCETON , NJ	Previous registration
J.J.B. HILLIARD, W.L. LYONS, LLC	Former SEC adviser	Jun 4, 2003	Jan 1, 2004	no	PRINCETON, NJ	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
CITIGROUP GLOBAL MARKETS INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Apr 1, 2009	Apr 15, 2009	14	Firm change	Other
PNC WEALTH MANAGEMENT	CITIGROUP GLOBAL MARKETS INC.	Jan 14, 2005	Jan 12, 2005	-2	Firm change	Other
J.J.B. HILLIARD, W.L. LYONS, LLC	PNC WEALTH MANAGEMENT	Jan 1, 2004	Jan 1, 2004	0	Bulk transfer	Other

Relationships

Registered with (4)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: current employment
Apr 15, 2009 to presentfactForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Jan 12, 2005 to Apr 1, 2009factForm ADV
→ PNC WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Jan 1, 2004 to Jan 14, 2005factForm ADV
→ J.J.B. HILLIARD, W.L. LYONS, LLCRegistered adviserregistration: previous registration
Jun 4, 2003 to Jan 1, 2004factForm ADV

Dated events

No dated event names this entity yet.