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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)18 years in industry

ROBERT LEE MOODY

Advisor at LPL FINANCIAL LLC

BIRMINGHAM, AL

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Search this name across graphsid dfx:ria:658e0527-89c8-d5f2-1558-3a19c98001f8

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:18 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Jun 24, 2008 to Sep 14, 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: LPL FINANCIAL LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 24, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S66
First exam: Mar 12, 2013
First registration: Jun 24, 2008
Dual registered: yes, broker-dealer
Other names: ROBERT LEE MOODY|ROBERT LEE MOODY|ROBERT MOODY
IAPD individual key: 5509185

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
LPL FINANCIAL LLC	Bd affiliated wealth	Dec 15, 2023	n/a	yes	BIRMINGHAM, AL	Current employment
SYNOVUS SECURITIES, INC.	Bd affiliated wealth	Aug 12, 2019	Dec 12, 2023	no	BIRMINGHAM, AL\|COLUMBUS, GA	Previous registration
CLARK FINANCIAL ADVISORS	Former SEC adviser	May 2, 2019	Aug 5, 2019	no	BIRMINGHAM, AL	Previous registration
SYNOVUS SECURITIES, INC.	Bd affiliated wealth	Sep 30, 2015	Apr 29, 2019	no	BIRMINGHAM, AL\|COLUMBUS, GA	Previous registration
PNC WEALTH MANAGEMENT	Bd affiliated wealth	Dec 21, 2012	Sep 14, 2015	no	BIRMINGHAM, AL\|BIRMINGHAM, AL\|BIRMINGHAM, AL	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Jun 24, 2008	May 12, 2010	no	BIRMINGHAM, AL	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
SYNOVUS SECURITIES, INC.	LPL FINANCIAL LLC	Dec 12, 2023	Dec 15, 2023	3	Firm change	RIA to ibd
CLARK FINANCIAL ADVISORS	SYNOVUS SECURITIES, INC.	Aug 5, 2019	Aug 12, 2019	7	Firm change	RIA to ibd
SYNOVUS SECURITIES, INC.	CLARK FINANCIAL ADVISORS	Apr 29, 2019	May 2, 2019	3	Firm change	Ibd to RIA
PNC WEALTH MANAGEMENT	SYNOVUS SECURITIES, INC.	Sep 14, 2015	Sep 30, 2015	16	Firm change	Other
AMERIPRISE FINANCIAL SERVICES, LLC	PNC WEALTH MANAGEMENT	May 12, 2010	Dec 21, 2012	954	Firm change after gap	Other

Relationships

Registered with (5)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Dec 15, 2023 to presentfactForm ADV
→ SYNOVUS SECURITIES, INC.Registered adviserregistration: previous registration
Aug 12, 2019 to Dec 12, 2023factForm ADV
→ CLARK FINANCIAL ADVISORSRegistered adviserregistration: previous registration
May 2, 2019 to Aug 5, 2019factForm ADV
→ PNC WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Dec 21, 2012 to Sep 14, 2015factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Jun 24, 2008 to May 12, 2010factForm ADV

Dated events

Occurred
Dec 12, 2023
Advisor changed firm
Robert Lee Moody left Synovus Securities, Inc. for Lpl Financial Llc (registered 2023-12-15)
Form ADVobserved 6 days ago