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SAE PYOL MOON
SAE P MOON, SIMON MOON
CRD#: 4625048
IA
B
MORGAN STANLEYCRD#: 149777 1 NEW YORK PLAZA
3RD FLOOR
NEW YORK, NY 10004
3RD FLOOR
NEW YORK, NY 10004
0
Disclosures
19
Years of Experience
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State Registrations
B
New Jersey 10/22/2014
B
New York 10/22/2014
IA
New Jersey 10/22/2014
IA
New York 6/16/2021
SRO Registrations
B
B
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
B
Registered with this firm since 10/22/2014
IA
Registered with this firm since 10/22/2014
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/25/2014 - 10/21/2014 | ARLINGTON, VA | |
B | 06/23/2014 - 10/21/2014 | JERSEY CITY, NJ | |
IA | 03/30/2010 - 03/05/2014 | ARLINGTON, VA | |
B | 01/26/2010 - 03/05/2014 | JERSEY CITY, NJ | |
B | 03/18/2008 - 07/06/2009 | JERSEY CITY, NJ | |
B | 01/30/2007 - 09/18/2007 | JERSEY CITY, NJ | |
B | 01/12/2006 - 01/17/2007 | HAPPAUGE, NY | |
B | 03/16/2005 - 01/09/2006 | SAN JUAN CAPISTRANO, CA | |
B | 12/04/2003 - 05/17/2004 | ST. LOUIS, MO | |
B | 09/29/2003 - 11/18/2003 | HAUPPAUGE, NY | |
B | 01/23/2003 - 05/12/2003 | CARLE PLACE, NY |
JERSEY CITY, NJ
01/30/2007 - 09/18/2007
HAUPPAUGE, NY
09/29/2003 - 11/18/2003
CARLE PLACE, NY
01/23/2003 - 05/12/2003
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.