James R. Moon

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CRD#: 5147040

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.

James Robert Moon JR, who also goes by Bob Moon, J Robert Moon, James Robert Moon, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 2006. James had worked at 5 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Bob Moon | J Robert Moon | James Robert Moon

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 17, 2016 - January 23, 2019

HERITAGE FINANCIAL LLC

RIA

CRD#: 285149

GAINESVILLE, VA

Past

January 24, 2011 - October 17, 2016

ACORN FINANCIAL ADVISORY SERVICES, INC.

RIA

CRD#: 116763

GAINESVILLE, VA

Past

January 20, 2011 - December 31, 2017

THE STRATEGIC FINANCIAL ALLIANCE, INC.

CRD#: 126514

GAINESVILLE, VA

Past

November 8, 2006 - January 20, 2011

GROVE POINT INVESTMENTS, LLC

RIA

CRD#: 1763

GAINESVILLE, VA

Past

November 7, 2006 - January 20, 2011

GROVE POINT INVESTMENTS, LLC

CRD#: 1763

GAINESVILLE, VA

Past

September 13, 2006 - November 8, 2006

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

GAINESVILLE, VA

Past

July 28, 2006 - November 8, 2006

MML INVESTORS SERVICES, LLC

CRD#: 10409

GAINESVILLE, VA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

HERITAGE FINANCIAL LLC

HERITAGE FINANCIAL LLC | HERITAGE FINANCIAL, LLC

CRD#: 285149 / SEC#: 801-114336

RIA

Registered Investment Advisory firm - (11/26/2018 Approved)

District of Columbia

Registered Investment Advisory firm - (12/7/2018 Terminated)

Florida

Registered Investment Advisory firm - (12/7/2018 Terminated)

Louisiana

Registered Investment Advisory firm - (12/20/2018 Terminated)

Maryland

Registered Investment Advisory firm - (12/27/2018 Terminated)

North Carolina

Registered Investment Advisory firm - (12/10/2018 Terminated)

Texas

Registered Investment Advisory firm - (12/7/2018 Terminated)

Virginia

Registered Investment Advisory firm - (12/12/2018 Terminated)

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).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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

Series 63

Date: 8/9/2006

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 7/6/2006

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 12/31/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/3/2007

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/27/2006

Investment Company Products/Variable Contracts Representative Examination

Current Firm

HERITAGE FINANCIAL LLC

HERITAGE FINANCIAL LLC | HERITAGE FINANCIAL, LLC

CRD#: 285149 / SEC#: 801-114336

RIA

Registered Investment Advisory firm - (11/26/2018 Approved)

District of Columbia

Registered Investment Advisory firm - (12/7/2018 Terminated)

Florida

Registered Investment Advisory firm - (12/7/2018 Terminated)

Louisiana

Registered Investment Advisory firm - (12/20/2018 Terminated)

Maryland

Registered Investment Advisory firm - (12/27/2018 Terminated)

North Carolina

Registered Investment Advisory firm - (12/10/2018 Terminated)

Texas

Registered Investment Advisory firm - (12/7/2018 Terminated)

Virginia

Registered Investment Advisory firm - (12/12/2018 Terminated)

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Contact information

Main Address

7001 Heritage Village Plaza Suite 190, Gainesville, VA 20155

Mailing Address

Phone number

(703) 754-1233

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2025-10-01 HERITAGE FINANCIAL FORM ADV PART 2 (10/1/2025)

Regulatory assets under management

Total Number of Accounts	1,380
AUM (Assets Under Management)	$ 334,741,601

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.

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Advisor Monitoring

Firm Stability Insights

James R. Moon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ACORN FINANCIAL ADVISORY SERVICES, INC.

THE STRATEGIC FINANCIAL ALLIANCE, INC.

GROVE POINT INVESTMENTS, LLC

GROVE POINT INVESTMENTS, LLC

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

Primary Firm SEC Registration

HERITAGE FINANCIAL LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/9/2006

Series 65

Date: 7/6/2006

SIE

Date: 12/31/2017

Series 7

Date: 12/3/2007

Series 6

Date: 7/27/2006

Current Firm

HERITAGE FINANCIAL LLC

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HERITAGE FINANCIAL LLC

TRUST BUT VERIFY

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