Roderick H. Moon
Professional summary
Roderick Henry Moon, who also goes by Roddy Moon, is a registered financial professional currently at KPMG CORPORATE FINANCE LLC located in Boston, Massachusetts.
Roderick is registered as a RR (Registered Representative) and started their career in finance in 1997. Roderick has worked at 9 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Roderick Henry Moon's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 12, 2018 - Present
KPMG CORPORATE FINANCE LLC
Office #1: Two Financial Center 60 South Street, Boston, MA 02111October 2, 2015 - February 23, 2018
WALLER CAPITAL SECURITIES LLC
October 22, 2012 - September 17, 2015
OPPENHEIMER & CO. INC.
October 26, 2011 - October 15, 2012
M.E.S.A. SECURITIES, INC.
August 5, 2011 - October 3, 2011
INTE SECURITIES LLC
June 6, 2007 - December 10, 2010
JEFFERIES LLC
May 20, 2004 - May 29, 2007
ALLEN & COMPANY LLC
September 12, 2002 - May 12, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 30, 2001 - March 1, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 8, 1997 - September 10, 1998
CITICORP SECURITIES, 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
(3/12/2018)
(3/12/2018)
(3/12/2018)
(3/12/2018)
(3/12/2018)
(3/12/2018)
(3/12/2018)
(3/12/2018)
(3/12/2018)
(3/12/2018)
(3/12/2018)
(3/12/2018)
(3/12/2018)
(3/12/2018)
(3/12/2018)
(3/12/2018)
(3/12/2018)
(3/12/2018)
(3/12/2018)
(3/12/2018)
(3/12/2018)
(3/12/2018)
(3/12/2018)
(3/12/2018)
(3/12/2018)
(3/12/2018)
(3/12/2018)
(3/12/2018)
(3/12/2018)
(3/12/2018)
(5/15/2019)
(3/12/2018)
(3/12/2018)
(3/12/2018)
(3/12/2018)
(3/12/2018)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
KPMG CORPORATE FINANCE LLC
CRD#: 103973 / SEC#: , 8-52462
Contact information
FINRA licenses (53 States and Territories)
Documents
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
KPMG CORPORATE FINANCE LLC
CRD#: 103973Boston, MA 02111TRUST BUT VERIFY
Monitor Roderick Moon
Get automatic monthly alerts on:
