Austin T. 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.
Austin Tinsley Moon III was a registered financial professional .
Austin is a previously registered financial professional and started their career in finance in 2000. Austin had worked at 9 firms and has passed the Series 65, Series 66, Series 57TO, SIE, Series 55, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 25, 2018 - November 1, 2021
KESTRA ADVISORY SERVICES, LLC
September 25, 2018 - November 1, 2021
KESTRA INVESTMENT SERVICES, LLC
January 21, 2016 - February 21, 2018
NATIONAL PLANNING CORPORATION
January 21, 2016 - February 21, 2018
SII INVESTMENTS, INC.
January 21, 2016 - February 21, 2018
NATIONAL PLANNING CORPORATION
January 21, 2016 - February 21, 2018
INVESTMENT CENTERS OF AMERICA, INC.
January 21, 2016 - February 21, 2018
INVEST FINANCIAL CORPORATION
April 23, 2015 - December 18, 2015
LPL FINANCIAL LLC
August 1, 2014 - December 3, 2015
ADVANTAGE INVESTMENT MANAGEMENT, LLC
November 12, 2012 - March 23, 2015
UAT RESOURCES, LLC
October 6, 2004 - May 7, 2012
NATIONAL PLANNING CORPORATION
July 24, 2002 - May 7, 2012
NATIONAL PLANNING CORPORATION
July 26, 2000 - December 19, 2001
NATIONAL PLANNING CORPORATION
Primary Firm SEC Registration
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 1/12/2001
Limited Representative-Equity Trader ExamCurrent Firm
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
