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Brian Moriarty

Investment Adviser Representative at OSAIC WEALTH, INC.

Shrewsbury, NJCRD #4567198Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
24 yrs
States Registered
7 states
Exams Passed
7

Registrations & licenses

Registration type
Dual-registered
Registered in 7 states
FloridaGeorgiaIndianaNew JerseyNew YorkOhioOklahoma
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 2/9/2006
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 3
National Commodity Futures Examination
Passed 12/1/2009
Series 55
Limited Representative-Equity Trader Exam
Passed 6/10/2008
Series 7
General Securities Representative Examination
Passed 9/10/2002
Series 10
General Securities Sales Supervisor - General Module Examination
Passed 11/4/2006
Series 9
General Securities Sales Supervisor - Options Module Examination
Passed 6/19/2006

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Account minimum: $5,500

Firm-stated minimum; may be waived at the firm's discretion.

Source

Osaic Wealth, Inc. Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

OSAIC WEALTH, INC.Current
1/29/2024Shrewsbury, NJ
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
11/4/20222/6/2024Rosemary Beach, FL
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
2/7/201111/21/2022Princeton, NJ
MORGAN STANLEY SMITH BARNEY LLC
6/1/20092/4/2011New York, NY
MORGAN STANLEY & CO. INCORPORATED
1/7/20096/1/2009New York, NY
OPPENHEIMER & CLOSE, INC.
3/25/200810/8/2008New York, NY
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
2/10/20063/10/2008New York, NY

Official records & sources

Data as of August 9, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Brian Moriarty has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

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