Richard W. Moon
Professional summary
Richard Walter Moon III, who also goes by Richard Walter II Moon, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Los Angeles, California and CETERA FINANCIAL SPECIALISTS LLC located in Los Angeles, California.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Richard has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Richard Walter Moon III's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 16, 2022 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 5777 W Century Blvd Ste 1580, Los Angeles, CA 90045August 16, 2022 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 5777 W Century Blvd Ste 1580, Los Angeles, CA 90045June 13, 2000 - August 19, 2022
AVANTAX ADVISORY SERVICES
May 20, 1996 - August 19, 2022
AVANTAX INVESTMENT SERVICES, INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/14/2022)
(8/16/2022)
(8/16/2022)
Exams
FINRA
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
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