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RIA / WealthAdvisordual registered (broker-dealer)26 years in industry

BRIAN LEE MOFFETT

Advisor at TRUIST ADVISORY SERVICES, INC.

FAIRFAX, VA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:28 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Nov 27, 2000 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: TRUIST ADVISORY SERVICES, 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: May 9, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: May 9, 2000
First registration: Nov 27, 2000
Dual registered: yes, broker-dealer
IAPD individual key: 3163385

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
TRUIST ADVISORY SERVICES, INC.	Bd affiliated wealth	Sep 21, 2016	n/a	yes	FAIRFAX, VA	Current employment
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Apr 11, 2006	Aug 27, 2014	no	WASHINGTON, DC	Previous registration
OPPENHEIMER ASSET MANAGEMENT	Bd affiliated wealth	Apr 15, 2003	Sep 14, 2006	no	NEW YORK, NY	Previous registration
OPPENHEIMER & CO. INC.	Bd affiliated wealth	Jan 3, 2003	Apr 15, 2003	no	WASHINGTON, DC\|WASHINGTON, DC	Previous registration
CIBC WORLD MARKETS CORP.	n/a	Nov 27, 2000	Jan 3, 2003	no	WASHINGTON, DC	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	TRUIST ADVISORY SERVICES, INC.	Aug 27, 2014	Sep 21, 2016	756	Firm change after gap	Wirehouse to new firm
OPPENHEIMER ASSET MANAGEMENT	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Sep 14, 2006	Apr 11, 2006	-156	Firm change after gap	Other
OPPENHEIMER & CO. INC.	OPPENHEIMER ASSET MANAGEMENT	Apr 15, 2003	Apr 15, 2003	0	Bulk transfer	Other
CIBC WORLD MARKETS CORP.	OPPENHEIMER & CO. INC.	Jan 3, 2003	Jan 3, 2003	0	Bulk transfer	Other

Relationships

Registered with (5)

→ TRUIST ADVISORY SERVICES, INC.Registered adviserregistration: current employment
Sep 21, 2016 to presentfactForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Apr 11, 2006 to Aug 27, 2014factForm ADV
→ OPPENHEIMER ASSET MANAGEMENTRegistered adviserregistration: previous registration
Apr 15, 2003 to Sep 14, 2006factForm ADV
→ OPPENHEIMER & CO. INC.Registered adviserregistration: previous registration
Jan 3, 2003 to Apr 15, 2003factForm ADV
→ CIBC WORLD MARKETS CORP.Registered adviserregistration: previous registration
Nov 27, 2000 to Jan 3, 2003factForm ADV

Dated events

No dated event names this entity yet.