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RIA / WealthAdvisordual registered (broker-dealer)31 years in industry

Charles PATRICK Moody

Advisor at CITIGROUP GLOBAL MARKETS INC.

Jacksonville, FL | Ponte Vedra, FL | TAMPA, FL

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Search this name across graphsid dfx:ria:d70826a7-381d-bfd8-2452-4d9523a2a8d2

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:45 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Oct 30, 2002 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: CITIGROUP GLOBAL MARKETS INC.
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: Feb 23, 1995earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Feb 23, 1995
First registration: Oct 30, 2002
Dual registered: yes, broker-dealer
Other names: CHARLES MOODY
IAPD individual key: 2567537

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
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Aug 12, 2022	n/a	yes	Jacksonville, FL\|TAMPA, FL\|Ponte Vedra, FL	Current employment
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Aug 21, 2013	Aug 8, 2022	no	JACKSONVILLE, FL\|NEW YORK, NY\|JACKSONVILLE, FL\|PENNINGTON, NJ	Previous registration
STRATEGIC ADVISERS LLC	National bd RIA	Aug 12, 2011	Jul 16, 2013	no	JACKSONVILLE, FL	Previous registration
MML INVESTORS SERVICES, LLC	Bd affiliated wealth	Sep 11, 2008	May 5, 2010	no	ST. AUGUSTINE, FL	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jun 18, 2003	Aug 19, 2008	no	JACKSONVILLE, FL\|JACKSONVILLE, FL	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Oct 30, 2002	Apr 25, 2003	no	JACKSONVILLE, FL	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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	CITIGROUP GLOBAL MARKETS INC.	Aug 8, 2022	Aug 12, 2022	4	Firm change	Wirehouse to ibd
STRATEGIC ADVISERS LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Jul 16, 2013	Aug 21, 2013	36	Firm change	Ibd to wirehouse
MML INVESTORS SERVICES, LLC	STRATEGIC ADVISERS LLC	May 5, 2010	Aug 12, 2011	464	Firm change after gap	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	MML INVESTORS SERVICES, LLC	Aug 19, 2008	Sep 11, 2008	23	Firm change	Other
AMERIPRISE FINANCIAL SERVICES, LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Apr 25, 2003	Jun 18, 2003	54	Firm change	Ibd to wirehouse

Relationships

Registered with (5)

→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: current employment
Aug 12, 2022 to presentfactForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Aug 21, 2013 to Aug 8, 2022factForm ADV
→ STRATEGIC ADVISERS LLCRegistered adviserregistration: previous registration
Aug 12, 2011 to Jul 16, 2013factForm ADV
→ MML INVESTORS SERVICES, LLCRegistered adviserregistration: previous registration
Sep 11, 2008 to May 5, 2010factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Oct 30, 2002 to Apr 25, 2003factForm ADV

Dated events

Occurred
Aug 8, 2022
Advisor changed firm
Charles Patrick Moody left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Citigroup Global Markets Inc. (registered 2022-08-12)
Form ADVobserved 5 days ago