Hyung Il 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.
Hyung Il Moon, who also goes by Hyung Il Moon Mr., Hyung Il Moon, Ken Moon, was a registered financial professional .
Hyung Il is a previously registered financial professional and started their career in finance in 2002. Hyung Il had worked at 6 firms and has passed the Series 63, Series 7TO, SIE, Series 7, Series 3 and Series 30 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 12, 2016 - March 17, 2021
ALLY INVEST SECURITIES LLC
January 2, 2015 - July 28, 2015
SG AMERICAS SECURITIES, LLC
April 7, 2008 - January 2, 2015
NEWEDGE USA, LLC
September 23, 2005 - September 1, 2008
NEWEDGE FINANCIAL INC.
September 27, 2004 - September 2, 2005
CIS SECURITIES, INC.
October 29, 2002 - September 15, 2003
DAIWA CAPITAL MARKETS AMERICA INC.
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
Series 7TO
Date: 12/22/2022
General Securities Representative ExaminationCurrent Firm
ALLY INVEST SECURITIES LLC
CRD#: 136131 / SEC#: , 8-66982
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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.
