Herbert
Moody

Lpl Financial LLC

CRD#804608
Investment Advisor
in Charlotte, NC
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About this Advisor

Herbert Moody is a financial advisor based in Charlotte, North Carolina. Currently an investment advisor with Lpl Financial LLC, Moody has a notable 22 years of experience as a registered investment advisor. Moody maintains a Series 63 license, qualifying them as a securities broker. Moody can operate in North Carolina. Over the course of their career, Moody has held roles at Walnut Street Securities, Inc, Capital Guardian, LLC, Capital Guardian Wealth Management, LLC, Lpl Financial, Morehead Plan Administrators and Morehead Plan Investments, Inc. Lpl Financial LLC is based out of Charlotte, North Carolina, and operates out of 8,011 offices in the United States. In total, Lpl Financial LLC manages $153 billion in assets across 680,466 client accounts and retains more than 22,703 people. The firm's total assets under management makes it one of the largest investment advisory firms in the United States. The firm manages 655,827 accounts on a discretionary basis, in which the advisor has the authority to make all investment decisions. Currently 23% of the firm's clients are high-net-worth individuals, meaning they have over $1 million in assets. Lpl Financial LLC offers financial planning services, portfolio management for individuals and small businesses, portfolio management for institutional clients, pension consulting services, selection of other advisers, educational seminars and other services. The firm's fees may include asset-based, hourly, fixed and commission-based fees.

Certifications and Registrations

Series 63, Chartered Financial Consultant

Years of Experience

22 years

Services Offered

Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients, Pension consulting services, Selection of other advisers, Educational seminars/workshops, Other

Fee Structure

Percentage of Assets, Hourly Charges, Fixed Fees, Commissions

Disclosures

No

Office Location

817 East Morehead St, Ste 300
Charlotte, NC 28202

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Lpl Financial LLC Brokerage Details

Total Assets Under Management

$152,530,468,356

NC Average: $16,012,751,954
Total Number of Employees

22,703

NC Average: 118
Total Number of Accounts

680,466

NC Average: 4,567
Average Account Size

$224,156

NC Average: $3,506,186

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Investment Advisory Services

  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses or institutional clients
  • Pension consulting services
  • Selection of other advisers
  • Educational seminars/workshops
  • Other

Herbert Moody Work History

Herbert has 22 years of experience.

2016 - Present (3 years)

Lpl Financial

2015 - Present (4 years)

Morehead Plan Investments, Inc

2013 - 2016 (3 years)

Capital Guardian, LLC

2013 - 2016 (3 years)

Capital Guardian Wealth Management, LLC

1998 - 2013 (15 years)

Walnut Street Securities, Inc

1996 - 2015 (19 years)

Morehead Plan Administrators

Disclosures

Herbert Moody has no disclosures.

Please visit their SEC profile for more details.

This content was compiled from the SEC and FINRA.

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