Larry Lee Moons | Financial Professional | Mobile, Alabama | JEFFREY MATTHEWS WEALTH MANAGEMENT, LLC

Professional summary

Larry Lee Moons is a registered financial advisor currently at JEFFREY MATTHEWS WEALTH MANAGEMENT, LLC located in Mobile, Alabama and THE JEFFREY MATTHEWS FINANCIAL GROUP, L.L.C. located in Mobile, Alabama.

Larry is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Larry has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

PROINVESTMENT SOLUTIONS; Investment Related; 7550 Brockton Court, Mobile AL 36695; Financial and Insurance Services; Owner; Start Date 01/2007; 160 hours per month with 7 hours per month occurring during trading hours; Offering securities and insurance products to clients and prospective clients.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Larry Lee Moons's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

September 20, 2022 - Present

JEFFREY MATTHEWS WEALTH MANAGEMENT, LLC

Office #1: 5905 Airport Boulevard Ste L, Mobile, AL 36608

RIA

CRD#: 155392

Mobile, AL

Current

October 12, 2022 - Present

THE JEFFREY MATTHEWS FINANCIAL GROUP, L.L.C.

Office #1: 1555 University Blvd Suite 200, Mobile, AL 36693

BD

CRD#: 41282

Mobile, AL

Past

January 3, 2007 - August 25, 2022

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

RIA

CRD#: 15708

MOBILE, AL

Past

December 6, 2006 - August 25, 2022

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

BD

CRD#: 15708

MOBILE, AL

Past

September 12, 2005 - November 2, 2006

AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC

RIA

CRD#: 111757

BIRMINGHAM, AL

Past

August 24, 2005 - October 31, 2006

AMSOUTH INVESTMENT SERVICES, INC.

BD

CRD#: 15692

MOBILE, AL

Past

September 12, 2000 - September 1, 2005

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

MOBILE, AL

Past

August 14, 2000 - September 1, 2005

UBS FINANCIAL SERVICES INC.

BD

CRD#: 8174

WEEHAWKEN, NJ

Past

February 23, 1999 - August 14, 2000

J.C. BRADFORD & CO.

BD

CRD#: 1287

NEW YORK, NY

Past

January 29, 1999 - February 22, 1999

J.C. BRADFORD & CO.

BD

CRD#: 1287

Past

December 6, 1993 - February 15, 1999

LEGG MASON WOOD WALKER, INCORPORATED

BD

CRD#: 6555

BALTIMORE, MD

Past

March 13, 1986 - October 23, 1986

MORGAN STANLEY DW INC.

BD

CRD#: 7556

Past

January 26, 1984 - December 9, 1993

A. G. EDWARDS & SONS, INC.

BD

CRD#: 4

ST. LOUIS, MO

Past

November 28, 1983 - March 10, 1986

A. G. EDWARDS & SONS, INC.

BD

CRD#: 4

Past

January 18, 1983 - May 17, 1985

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD

CRD#: 7691

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

JM

JEFFREY MATTHEWS WEALTH MANAGEMENT, LLC

CRD#: 155392 / SEC#: 801-132626

RIA

Registered Investment Advisory firm - (4/30/2025 Approved)

Alabama

Registered Investment Advisory firm - (6/27/2018 Approved)

California

Registered Investment Advisory firm - (6/20/2019 Approved)

Colorado

Registered Investment Advisory firm - (5/31/2019 Approved)

Connecticut

Registered Investment Advisory firm - (6/5/2018 Approved)

District of Columbia

Registered Investment Advisory firm - (6/12/2018 Approved)

Florida

Registered Investment Advisory firm - (6/4/2018 Approved)

Georgia

Registered Investment Advisory firm - (8/17/2018 Approved)

Louisiana

Registered Investment Advisory firm - (1/31/2022 Approved)

Mississippi

Registered Investment Advisory firm - (2/18/2022 Approved)

New Jersey

Registered Investment Advisory firm - (5/10/2018 Approved)

New York

Registered Investment Advisory firm - (5/21/2021 Approved)

North Carolina

Registered Investment Advisory firm - (10/29/2020 Approved)

Ohio

Registered Investment Advisory firm - (1/27/2022 Approved)

Oklahoma

Registered Investment Advisory firm - (5/11/2022 Approved)

South Carolina

Registered Investment Advisory firm - (5/4/2021 Approved)

Tennessee

Registered Investment Advisory firm - (4/17/2019 Approved)

Texas

Registered Investment Advisory firm - (2/15/2022 Conditional Restricted)

Wisconsin

Registered Investment Advisory firm - (3/22/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

RR

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR

Alabama
(9/20/2022)

RR

Alabama
(10/13/2022)

IAR

Florida
(10/7/2022)

IAR

Mississippi
(9/23/2022)

RR

Mississippi
(10/18/2022)

RR

Oklahoma
(12/21/2023)

RR

Texas
(4/29/2025)

IAR

Texas
(4/29/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/18/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

RR

Series 63

Date: 2/6/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 7

Date: 1/21/1984

General Securities Representative Examination

General Industry/Product Exam

RR

Series 6

Date: 1/13/1983

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

RR

FINRA

Current Firm

JM

JEFFREY MATTHEWS WEALTH MANAGEMENT, LLC

CRD#: 155392 / SEC#: 801-132626

RIA

Registered Investment Advisory firm - (4/30/2025 Approved)

Alabama

Registered Investment Advisory firm - (6/27/2018 Approved)

California

Registered Investment Advisory firm - (6/20/2019 Approved)

Colorado

Registered Investment Advisory firm - (5/31/2019 Approved)

Connecticut

Registered Investment Advisory firm - (6/5/2018 Approved)

District of Columbia

Registered Investment Advisory firm - (6/12/2018 Approved)

Florida

Registered Investment Advisory firm - (6/4/2018 Approved)

Georgia

Registered Investment Advisory firm - (8/17/2018 Approved)

Louisiana

Registered Investment Advisory firm - (1/31/2022 Approved)

Mississippi

Registered Investment Advisory firm - (2/18/2022 Approved)

New Jersey

Registered Investment Advisory firm - (5/10/2018 Approved)

New York

Registered Investment Advisory firm - (5/21/2021 Approved)

North Carolina

Registered Investment Advisory firm - (10/29/2020 Approved)

Ohio

Registered Investment Advisory firm - (1/27/2022 Approved)

Oklahoma

Registered Investment Advisory firm - (5/11/2022 Approved)

South Carolina

Registered Investment Advisory firm - (5/4/2021 Approved)

Tennessee

Registered Investment Advisory firm - (4/17/2019 Approved)

Texas

Registered Investment Advisory firm - (2/15/2022 Conditional Restricted)

Wisconsin

Registered Investment Advisory firm - (3/22/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

30b Vreeland Road Suite 210, Florham Park, NJ 07932

Mailing Address

Phone number

(888) 467-3636

Established

Firm type

Fiscal year end

# of Employees

16

Regulatory assets under management

Total Number of Accounts	360
AUM (Assets Under Management)	$ 127,200,152

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Larry L. Moons

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Larry Lee Moons's CRS (Customer Relationship Summary).

Certified licenses

Experience

THE JEFFREY MATTHEWS FINANCIAL GROUP, L.L.C.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC

AMSOUTH INVESTMENT SERVICES, INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

J.C. BRADFORD & CO.

J.C. BRADFORD & CO.

LEGG MASON WOOD WALKER, INCORPORATED

MORGAN STANLEY DW INC.

A. G. EDWARDS & SONS, INC.

A. G. EDWARDS & SONS, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

JEFFREY MATTHEWS WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/18/2001

Series 63

Date: 2/6/1984

SIE

Date: 10/1/2018

Series 7

Date: 1/21/1984

Series 6

Date: 1/13/1983

FINRA

Current Firm

JEFFREY MATTHEWS WEALTH MANAGEMENT, LLC

Contact information

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

JEFFREY MATTHEWS WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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