Steven Moon
Professional Summary
Steven Moon, who also goes by Steven Jae-ho Moon, is a registered financial advisor currently at KROLL SECURITIES LLC located in Los Angeles, California. Steven is registered as a RR (Registered Representative) and started their career in finance in 2005. Steven has worked at 1 firm and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Steven Jae-Ho Moon
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
21 years in the financial services industry
Current & Past Employments
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Current Firm
DUFF & PHELPS SECURITIES CO. | PAGEMILL PARTNERS | KROLL SECURITIES LLC | KROLL INVESTMENT BANKING | KROLL CORPORATE FINANCE | GROWTH CAPITAL PARTNERS | DUFF & PHELPS SECURITIES LLC
Contact Information
Main Address
1 S. Wacker Drive Suite 700, Chicago, IL 60606Mailing Address
1 S. Wacker Drive Suite 700, Chicago, IL 60606Phone Number
(312) 697-4600Established
Delaware since 06/19/1997Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KROLL, LLC | OWNER | — |
| ATTANASIO, ELIZABETH MARIE | FINOP | 5325007 |
| BENN, JOSHUA KOGAN | MANAGING DIRECTOR | 3166674 |
| BLOWERS, DAVID CHARLES JR. | CEO | 5960307 |
| BURT, STEPHEN M | PRESIDENT | 2679117 |
| CAPITMAN, ANDREW WILLIAM | MANAGING DIRECTOR | 2321386 |
| JANCOVIC, GIZELLE MARIE | CHIEF COMPLIANCE OFFICER | 5654006 |
| MOON, STEVEN JAE-HO | MANAGING DIRECTOR | 4860246 |
Disclosures
Regulatory Event
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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.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(6/13/2012)
(6/25/2010)
(8/16/2007)
(1/20/2005)
(10/26/2017)
(4/15/2015)
(2/4/2009)
(9/26/2023)
(8/11/2016)
(5/9/2013)
(4/30/2019)
(1/10/2018)
(9/23/2021)
(5/1/2014)
(3/6/2019)
(3/18/2013)
(7/31/2012)
(6/13/2012)
(8/14/2007)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Steven Moon's CRS (Customer Relationship Summary).
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