Edward M. Moon
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Edward Mark Moon, who also goes by E Mark Moon, Mark Mark Moon, Mark Moon, was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1988. Edward had worked at 7 firms and has passed the Series 65, Series 63, Series 3, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 15, 2011 - April 25, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 14, 2011 - April 25, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 3, 2011 - February 18, 2011
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - February 18, 2011
WELLS FARGO CLEARING SERVICES, LLC
June 2, 2005 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
June 2, 2005 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
July 8, 1997 - November 10, 2004
CHARLES SCHWAB & CO., INC.
March 12, 1996 - November 10, 2004
CHARLES SCHWAB & CO., INC.
July 31, 1993 - April 21, 1995
CITIGROUP GLOBAL MARKETS INC.
February 1, 1989 - July 31, 1993
LEHMAN BROTHERS INC.
August 23, 1988 - December 21, 1988
GRAYSTONE NASH, INC.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
