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JM

James J. Moon

J.K. FINANCIAL SERVICES
Norco, CA 92860
Some features on this profile are disabled
CRD#: 2109554
JM

Professional summary

James J Moon, ChFC®, CLU®, who also goes by James Jang Myung Moon, James Jangmyung Moon, James Moon, is a registered financial professional currently at J.K. FINANCIAL SERVICES, INC. located in Norco, California.

James is registered as a RR (Registered Representative) and started their career in finance in 1985. James has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 22, Series 51 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

James Jang Myung Moon | James Jangmyung Moon | James Moon

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James J Moon'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®
ChFC®

Chartered Financial Consultant

CLU®

Chartered Life Underwriter

Experience

Current

August 22, 2022 - Present

J.K. FINANCIAL SERVICES, INC.

Office #1: 149 Cross Rail Lane Ste. 102, Norco, CA 92860
BD
CRD#: 103728
Norco, CA
Past

June 13, 2019 - December 7, 2020

CENTAURUS FINANCIAL, INC.

BD
CRD#: 30833
DIAMOND BAR, CA
Past

June 11, 2019 - December 7, 2020

CENTAURUS FINANCIAL, INC.

RIA
CRD#: 30833
DIAMOND BAR, CA
Past

February 21, 2014 - June 29, 2017

FORESTERS EQUITY SERVICES, INC.

RIA
CRD#: 18464
DIAMOND BAR, CA
Past

February 21, 2014 - June 29, 2017

FORESTERS EQUITY SERVICES, INC.

BD
CRD#: 18464
SAN DIEGO, CA
Past

June 28, 2013 - January 7, 2014

EAGLE STRATEGIES LLC

RIA
CRD#: 110826
POMONA, CA
Past

July 26, 2012 - January 7, 2014

NYLIFE SECURITIES LLC

BD
CRD#: 5167
POMONA, CA
Past

May 17, 2006 - June 18, 2012

PRUCO SECURITIES, LLC.

RIA
CRD#: 5685
LOS ANGELES, CA
Past

February 9, 1998 - June 18, 2012

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
LOS ANGELES, CA
Past

March 11, 1991 - December 7, 1993

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

BD
CRD#: 4039
NEW YORK, NY
Past

March 11, 1991 - December 7, 1993

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
NEW YORK, NY
Past

September 9, 1985 - February 16, 1988

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

BD
CRD#: 4039
Past

September 9, 1985 - February 16, 1988

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627

State Registrations and Notice Filings

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

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

RR
California
(8/22/2022)

Exams

State Security Law Exam
IAR
Series 65
Date: 11/17/2000
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/6/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/29/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/16/2000
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 2/6/1998
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 22
Date: 10/9/1987
Direct Participation Programs Representative Examination
Principal/Supervisory Exam
RR
Series 51
Date: 12/30/2009
Municipal Fund Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/24/2004
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

JF
J.K. FINANCIAL SERVICES, INC.
HUA KANG SECURITIES, INC. | J.K. FINANCIAL SERVICES, INC. | J K FINANCIAL SERVICES, INC

CRD#: 103728 / SEC#: , 8-52214

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
149 Cross Rail Lane Ste. 102, Norco, CA 92860
Mailing Address
149 Cross Rail Lane Ste 102, Norco, CA 92860
Phone number
(714) 704-1818
Established
California since 10/20/1999
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (7 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ZHENG, JOE JIANKANGCHIEF FINANCIAL OFFICER, SROP, CROP2318835
HO, LILY MEIXIAPRESIDENT, CEO, CCO4336165

Disclosures

Regulatory Event3

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.

Company Information

J.K. FINANCIAL SERVICES, INC.

CRD#: 103728Norco, CA 92860

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