Victor N. Moy

MOY INVESTMENT MANAGEMENT

Cincinnati, OH 45241

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CRD#: 3101498

Professional summary

Victor Nmn Moy is a registered financial advisor currently at MOY INVESTMENT MANAGEMENT, LLC located in Cincinnati, Ohio.

Victor is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Victor has worked at 4 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) - RIA

Click below to view Victor Nmn Moy's 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®

None

Experience

Current

July 22, 2009 - Present

MOY INVESTMENT MANAGEMENT, LLC

Office #1: 300 E-business Way Suite 200, Cincinnati, OH 45241

RIA

CRD#: 150924

Cincinnati, OH

Past

February 11, 2008 - March 13, 2009

DUNHAM

CRD#: 13162

SAN DIEGO, CA

Past

January 14, 2008 - March 13, 2009

DUNHAM

RIA

CRD#: 13162

SAN DIEGO, CA

Past

January 1, 2000 - January 31, 2008

BARTLETT & CO

RIA

CRD#: 112338

CINCINNATI, OH

Past

November 2, 1998 - December 6, 2005

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

BALTIMORE, MD

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Ohio
(7/22/2009)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 6/20/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 2/8/2008

General Securities Representative Examination

Current Firm

MOY INVESTMENT MANAGEMENT, LLC

CRD#: 150924 / SEC#:

Ohio

Registered Investment Advisory firm - (7/21/2009 Approved)

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Contact information

Main Address

300 E-business Way Suite 200, Cincinnati, OH 45241

Mailing Address

Phone number

(513) 247-6102

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	94
AUM (Assets Under Management)	$ 76,508,892

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Victor N. Moy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Victor Nmn Moy's CRS (Customer Relationship Summary).

Certified licenses

Experience

MOY INVESTMENT MANAGEMENT, LLC

DUNHAM

DUNHAM

BARTLETT & CO

LEGG MASON WOOD WALKER, INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 6/20/2008

Series 7

Date: 2/8/2008

Current Firm

MOY INVESTMENT MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

MOY INVESTMENT MANAGEMENT, LLC

TRUST BUT VERIFY

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