Unclaimed Profile

James Robert Moon

HERITAGE FINANCIAL LLC·GAINESVILLE, Virginia

SIE, Series 6, Series 7, Series 63, Series 65Clean record19 years registeredHERITAGE FINANCIAL LLC

7001 HERITAGE VILLAGE PLAZA, GAINESVILLE, VA 20155CRD# 5147040Firm CRD# 285149

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

James Robert Moon · GAINESVILLE, VA

Registration

CRD #5147040 · HERITAGE FINANCIAL LLC · 19 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: HERITAGE FINANCIAL LLC

HERITAGE FINANCIAL LLC

Oct 2016 – Jan 2019

GAINESVILLE, VA

ACORN FINANCIAL ADVISORY SERVICES, INC.

Jan 2011 – Oct 2016

GAINESVILLE, VA

H. BECK, INC.

Nov 2006 – Jan 2011

GAINESVILLE, VA

MML INVESTORS SERVICES, INC.

Sep 2006 – Nov 2006

GAINESVILLE, VA

Registrations & Exams

FINRA examinations passed

SIE

Series 6

Series 7

Series 63

Series 65

Registration record

First registered · September 13, 2006

Years registered · 19

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

HERITAGE FINANCIAL, LLC

CRD 285149 · SEC 801-114336

AUM

$281M

Regulatory assets under management

Employees

1,286 client accounts

Services offered by HERITAGE FINANCIAL, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at HERITAGE FINANCIAL, LLC →

Introduction

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Frequently Asked Questions

What services does James Robert Moon offer?

James Robert Moon specializes in Financial Planning, Investment Management.

What are James Robert Moon's credentials?

James Robert Moon is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is James Robert Moon located?

James Robert Moon is based in GAINESVILLE, Virginia, last registered with HERITAGE FINANCIAL LLC.

How does James Robert Moon charge for services?

James Robert Moon's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is HERITAGE FINANCIAL LLC?

HERITAGE FINANCIAL LLC has approximately 8 employees and manages $281M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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