Stephanie 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.
Stephanie Tong Moon, CFP®, CPWA®, who also goes by Stephanie Chien Tong, was a registered financial professional .
Stephanie is a previously registered financial professional and started their career in finance in 2004. Stephanie had worked at 6 firms and has passed the Series 66, SIE 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
Start date: 2010
Start date: 2011-04-21
Expire date: 2025-03-31
Experience
August 15, 2011 - December 2, 2014
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC
January 22, 2007 - December 2, 2014
FIRST REPUBLIC SECURITIES COMPANY, LLC
August 16, 2006 - January 9, 2007
CHOREO, LLC
August 16, 2006 - January 9, 2007
BIRCHTREE FINANCIAL SERVICES LLC
October 14, 2005 - August 3, 2006
MERCER ALLIED COMPANY, L.P.
September 22, 2005 - August 3, 2006
GOLDMAN SACHS WEALTH SERVICES, L.P.
July 8, 2004 - August 26, 2005
GOLDMAN SACHS WEALTH SERVICES, L.P.
May 31, 2004 - August 26, 2005
MERCER ALLIED COMPANY, L.P.
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
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC
CRD#: 108559 / SEC#: 801-56293
Contact information
Regulatory assets under management
| Total Number of Accounts | 56,585 |
| AUM (Assets Under Management) | $ 86,270,585,130 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2024 | ||
| 02/28/2024 |
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.
