Douglas V. Moon

O.F.O. PARTNERS

Hingham, MA 02043

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CRD#: 4262572

Professional summary

Douglas Vinal Moon is a registered financial advisor currently at O.F.O. PARTNERS, LLC located in Hingham, Massachusetts.

Douglas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Douglas has worked at 4 firms and has passed the Series 66, SIE, Series 7 and Series 3 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.

Entity Name: The South Shore Chamber of Commerce Investment related: Yes Address: 1050 Hingham Street| Rockland, MA 02370 | Phone 781.421.3900 http://www.southshorechamber.org/ Nature of the other business: South Shore Chamber of Commerce has been a business organization led by and advocating for business across the South Shore. Our mission is much broader: We strive to make the South Shore the Best place to Live, Work and Play. Position/Title/Relationship: volunteer member of the investment committee Start Date: 01 Dec 2010 Approximate # of hours a month: Minimal. quarterly meetings at the site of the organization, plus non-market hour preparation/pre-reading of materials and reports. Approximate # of hours during securities hours: 2 Briefly describe your duties: serving as a volunteer member of the investment committee of a non-profit community entity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas Vinal Moon'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

November 13, 2018 - Present

O.F.O. PARTNERS, LLC

Office #1: 18 Shipyard Drive Suite 3d, Hingham, MA 02043

RIA

CRD#: 297424

Hingham, MA

Past

October 1, 2008 - October 23, 2018

J.P. MORGAN SECURITIES LLC

CRD#: 79

BOSTON, MA

Past

October 19, 2007 - October 1, 2008

J.P. MORGAN SECURITIES INC.

CRD#: 18718

BOSTON, MA

Past

October 24, 2000 - October 22, 2007

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

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

Massachusetts
(11/13/2018)

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

IAR

Series 66

Date: 12/1/2000

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/23/2000

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 9/26/2000

National Commodity Futures Examination

Current Firm

O.F.O. PARTNERS, LLC

MOON HILL CAPITAL LLC | OFO PARTNERS LLC | O.F.O. PARTNERS, LLC

CRD#: 297424 / SEC#: 801-114278

RIA

Registered Investment Advisory firm - (6/11/2019 Terminated)

Massachusetts

Registered Investment Advisory firm - (6/7/2019 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

18 Shipyard Drive Suite 3d, Hingham, MA 02043

Mailing Address

Phone number

(617) 829-8800

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	57
AUM (Assets Under Management)	$ 53,164,553

Red Flags

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

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Douglas V. Moon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas Vinal Moon's CRS (Customer Relationship Summary).

Certified licenses

Experience

O.F.O. PARTNERS, LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES INC.

GOLDMAN SACHS & CO. LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/1/2000

SIE

Date: 10/1/2018

Series 7

Date: 10/23/2000

Series 3

Date: 9/26/2000

Current Firm

O.F.O. PARTNERS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

O.F.O. PARTNERS, LLC

TRUST BUT VERIFY

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