Brendan Moody has been Managing Member & Chief Compliance Officer of Watershed Private Wealth since August 2021, is a control person of the firm and directly owns between 50% and 75% of it.
Watershed Private Wealth LLC is an Oak Brook, IL firm with $414M under management, 144 clients and 3 advisers in one office, as of its August 2026 filing.
Brendan Moody is Founder/Wealth Advisor of Watershed Private Wealth. He has over a decade and a half of experience, including work alongside major institutions, and leads the firm.
Brendan Moody’s longest registration was 6 years at Strategic Advisers, Inc. (2011–2018). Before joining Watershed Private Wealth in 2021, Brendan Moody was registered through Spotlight Asset Group and Strategic Advisers, Inc.
- Watershed Private WealthCurrent– present · 5 yearsOak Brook, IL · Adviser representative · Firm CRD 316408
- – · under a yearOak Brook, IL · Adviser representative · Firm CRD 316408
- Spotlight Asset Group– · 3 yearsOakbrook Terrace, IL · Adviser representative · Firm CRD 288076
- Spotlight Asset Group– · under a yearOakbrook Terrace, IL · Adviser representative · Firm CRD 288076
- Strategic Advisers, Inc.– · 6 yearsOakbrook, IL · Adviser representative · Firm CRD 104555
- Axa Advisors, LLC– · 1 yearOak Brook, IL · Adviser representative · Firm CRD 6627
Investment adviser representative registrations
Brendan Moody is registered as an investment adviser representative in 2 states, as a resident of Texas. The first approvals date from September 2021; the most recent is Texas, in April 2024.
- IllinoisSince 16 September 2021
- TexasResidentSince 4 April 2024
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 25 June 2008 |
| Series 63 | Uniform Securities Agent State Law Examination | 29 April 2008 |
| Series 7 | General Securities Representative Examination | 11 February 2008 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Brendan Gilmartin Moody
- CRD
- 5466408
- Firm
- Watershed Private Wealth · CRD 316408
- Role
- Managing Member & Chief Compliance Officer
- Office
- 1415 WEST. 22ND STREET, SUITE 550, Oak Brook, IL 60523
- Registration
- Investment adviser registration
- In the industry since
- July 2008
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- watershedprivatewealth.com
Where does Brendan Moody work?
Brendan Moody has been Managing Member & Chief Compliance Officer of Watershed Private Wealth LLC since August 2021, and is a control person of the firm.
Is Brendan Moody a financial advisor?
Yes. Brendan Moody has a current investment-adviser registration in Illinois and Texas, through Watershed Private Wealth since September 2021.
How many years of experience does Brendan Moody have?
Brendan Moody has 18 years in the financial industry, since July 2008, across 4 adviser firms.
What exams has Brendan Moody passed?
Brendan Moody has passed 3 licensing exams: the Series 7, Series 63 and Series 65. The earliest, the Series 7, was passed in February 2008. FINRA credited Brendan Moody with the SIE, which began in October 2018.
Where did Brendan Moody work before Watershed Private Wealth?
Before Watershed Private Wealth, Brendan Moody was registered through Watershed Private Wealth LLC, September 2021 to September 2021; Spotlight Asset Group, March 2018 to March 2018; Strategic Advisers, Inc., July 2011 to March 2018; Axa Advisors, LLC, July 2008 to December 2009.
Where is Brendan Moody based?
Brendan Moody’s registered office is in Oak Brook, IL.
Is Brendan Moody registered with FINRA?
No. Brendan Moody has no current broker registration.
How can I verify Brendan Moody’s record?
Search CRD 5466408 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Brendan Moody’s full registration record.