Eric D. 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.
Eric David Moon was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 2000. Eric had worked at 4 firms and has passed the Series 65, Series 63, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 25, 2017 - January 16, 2018
LAKE STREET ADVISORS
September 13, 2011 - April 20, 2017
LAKE STREET ADVISORS, LLC
November 21, 2000 - December 9, 2003
D.A. DAVIDSON & CO.
February 29, 2000 - September 21, 2000
PREFERREDTRADE, 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 55
Date: 7/6/2000
Limited Representative-Equity Trader ExamCurrent Firm
LAKE STREET ADVISORS
CRD#: 288300 / SEC#: 801-110455
Contact information
Regulatory assets under management
| Total Number of Accounts | 1,858 |
| AUM (Assets Under Management) | $ 3,108,813,749 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2024 | ||
| 10/31/2023 | ||
| 02/08/2023 |
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.
