Neal C. Moon
Professional summary
Neal Charles Moon was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Neal is a previously registered financial advisor and started their career in finance in 1999. Prior to being barred, Neal had worked at 3 firms, which includes WADDELL & REED, AMERIPRISE FINANCIAL SERVICES LLC, BROKER DEALER FINANCIAL SERVICES CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 9, 2009 - October 16, 2015
WADDELL & REED
October 7, 2009 - October 16, 2015
WADDELL & REED
November 8, 2007 - March 26, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
October 9, 2007 - March 26, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
March 11, 2005 - October 22, 2007
BROKER DEALER FINANCIAL SERVICES CORP.
August 26, 2003 - February 7, 2005
BROKER DEALER FINANCIAL SERVICES CORP.
October 7, 1999 - April 2, 2002
BROKER DEALER FINANCIAL SERVICES CORP.
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
Current Firm
WADDELL & REED
CRD#: 866 / SEC#: 801-16720, 8-27030
Contact information
FINRA licenses (1 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WADDELL & REED FINANCIAL SERVICES, INC. | SHAREHOLDER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHAIRMAN OF THE BOARD | 4003349 |
| DALEY, MICHAEL JOHN | VP AND FINANCIAL AND OPERATIONS PRINCIPAL | 6923129 |
| HANSEN, ELIZABETH ANN | SVP AND CHIEF COMPLIANCE OFFICER | 2199658 |
| HORAN-ADAMS, KIRBY LEPAK | EXECUTIVE VICE PRESIDENT | 5097259 |
| KRAMPER, MATTHEW SCOTT | VP AND PRINCIPAL OPERATIONS OFFICER | 2750651 |
| MIHAL, SHAWN MICHAEL | EXECUTIVE VICE PRESIDENT | 3262384 |
| MITCHELL, CHRISTOPHER MILLS | ASSISTANT TREASURER | 2420144 |
| OROSCHAKOFF, MICHELLE | VICE-CHAIRMAN OF THE BOARD | 2403199 |
| SIMONICH, BRENT BLAIN | TREASURER | 3254859 |
Disclosures
| Regulatory Event | 29 |
| Civil Event | 1 |
| Arbitration | 11 |
| Bond | 3 |
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.
