Gary A. Moon
Professional summary
Gary A. Moon is a registered financial professional currently at BA SECURITIES, LLC located in San Francisco, California.
Gary is registered as a RR (Registered Representative) and started their career in finance in 2004. Gary has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Gary A. Moon's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 19, 2018 - Present
BA SECURITIES, LLC
Office #1: 704 Sansome Street, San Francisco, CA 94111October 8, 2010 - April 10, 2018
HEADWATERS BD, LLC
September 15, 2008 - December 19, 2008
CAPITAL SOLUTIONS DISTRIBUTORS, LLC
February 25, 2004 - April 17, 2006
VIANT CAPITAL LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/19/2018)
(5/10/2018)
(4/20/2018)
(11/16/2023)
(3/3/2025)
Exams
FINRA
Current Firm
BA SECURITIES, LLC
CRD#: 153489 / SEC#: , 8-68545
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BA HOLDCO, LLC | OWNER | |
| BOLDEN, MICHAEL LABRADOR | CHIEF COMPLIANCE OFFICER | 6411755 |
| CHUFF, JOHN JOSEPH | PRESIDENT | 1205736 |
| HATLING, PEDER ALAN | PRINCIPAL | 5240595 |
| JUILIANO, COLLEEN JANE | FINOP | 4818898 |
| KELLER-YOUNG, SUZANNE | OPERATIONS MANAGER | 5495492 |
| PICKENS, DANIEL NEHIL | PRINCIPAL | 1042225 |
| WENTZLER, DENNIS RAYMOND | CHIEF OPERATIONS OFFICER & AML OFFICER | 4221461 |
Red Flags
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