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DM

Daniel C. Moon

PIMCO INVESTMENTS
Austin, TX 78701
Some features on this profile are disabled
CRD#: 5502109
DM

Professional summary

Daniel Clay Moon, who also goes by Dan Moon, Daniel C. Moon, is a registered financial professional currently at PIMCO INVESTMENTS LLC located in Austin, Texas.

Daniel is registered as a RR (Registered Representative) and started their career in finance in 2008. Daniel has worked at 7 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Dan Moon | Daniel C. 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) - BD

Click below to view Daniel Clay Moon's CRS (Customer Relationship Summary).
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

March 23, 2026 - Present

PIMCO INVESTMENTS LLC

Office #1: 401 Congress Avenue Frost Bank Tower, Austin, TX 78701
BD
CRD#: 154957
Austin, TX
Past

December 11, 2018 - March 17, 2026

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

BD
CRD#: 18353
NEWARK, NJ
Past

December 17, 2014 - November 27, 2018

LAZARD ASSET MANAGEMENT SECURITIES LLC

BD
CRD#: 129119
NEW YORK, NY
Past

August 25, 2009 - December 2, 2014

WADDELL & REED

RIA
CRD#: 866
OVERLAND PARK, KS
Past

August 25, 2009 - December 2, 2014

WADDELL & REED

BD
CRD#: 866
OVERLAND PARK, KS
Past

August 25, 2009 - December 2, 2014

IVY DISTRIBUTORS, INC.

BD
CRD#: 16496
OVERLAND PARK, KS
Past

April 14, 2009 - August 3, 2009

OSAIC WEALTH, INC.

RIA
CRD#: 23131
KANSAS CITY, MO
Past

July 23, 2008 - December 1, 2009

COMPASS WEALTH MANAGEMENT, INC.

RIA
CRD#: 112054
KANSAS CITY, MO
Past

May 19, 2008 - August 3, 2009

OSAIC WEALTH, INC.

BD
CRD#: 23131
KANSAS CITY, MO

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arkansas
(3/23/2026)
RR
California
(3/23/2026)
RR
Colorado
(3/23/2026)
RR
Florida
(3/23/2026)
RR
Iowa
(3/23/2026)
RR
Kansas
(3/23/2026)
RR
Missouri
(3/23/2026)
RR
Nebraska
(3/23/2026)
RR
Nevada
(3/23/2026)
RR
New York
(3/23/2026)
RR
Oklahoma
(3/23/2026)
RR
Texas
(3/23/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/6/2008
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 1/5/2015
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 4/17/2008
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

PI
PIMCO INVESTMENTS LLC
PIMCO INVESTMENTS LLC

CRD#: 154957 / SEC#: , 8-68686

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
1633 Broadway 45th Floor, New York, NY 10019
Mailing Address
1633 Broadway 45th Floor, New York, NY 10019
Phone number
(212) 776-1500
Established
Delaware since 07/07/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PACIFIC INVESTMENT MANAGEMENT COMPANY LLCSOLE MEMBER104559
BENTLEY, JAMES DANIELMANAGER, BOARD OF MANAGERS5138093
BURG, ANTHONY ALANTREASURER6005184
FERRARI, DAVID RICHARDPRINCIPAL FINANCIAL OFFICER & FINANCIAL AND OPERATIONS PRINCIPAL6004690
HALL, GREGORY WESTONPRINCIPAL EXECUTIVE OFFICER & CHAIRMAN, BOARD OF MANAGERS3111343
MURPHY, JORDAN MITCHELLCHIEF COMPLIANCE OFFICER4221561
OGLESBY, SARAH JANESECRETARY7676855
PITTERS, CALEB JOSEPH ALEXANDER JRMANAGER, BOARD OF MANAGERS3198603
SUTHERLAND, ERIC MICHAELPRESIDENT & MANAGER, BOARD OF MANAGERS1724744
THOMAS, MARK GARETHHEAD OF BUSINESS MANAGEMENT2923871
WHITTAKER, MEGAN HAYESAML COMPLIANCE OFFICER6442805
WHITTEN, CANDICE STACKMANAGER, BOARD OF MANAGERS4460452

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.

Company Information

PIMCO INVESTMENTS LLC

CRD#: 154957Austin, TX 78701

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