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Detailed Report
ROY C MOON
C. ROY MOON
CRD#: 5866123
IA
Investment Adviser
B
Broker
THE WEALTH CONSULTING GROUPCRD#: 173194 30700 Russell Ranch Road, Suite 140
Westlake Village, CA 91362
LPL FINANCIAL LLCCRD#: 6413 30700 RUSSELL RANCH RD STE 140
WESTLAKE VILLAGE, CA 91362
Registration History
201220142016201820202022202420262 FIRMS2017 - Present (8 years)BMML INVESTORS SERVICES, LLC (CRD# 10409)2011 - 2017 (5 years)IAMML INVESTORS SERVICES, LLC (CRD# 10409)2012 - 2017 (4 years)
License(s)

State Registrations

B
California 1/20/2017
B
Texas 6/11/2021
IA
California 1/23/2017
IA
Texas 1/3/2022

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
THE WEALTH CONSULTING GROUP (CRD#:173194)
30700 Russell Ranch Road, Suite 140, Westlake Village, CA 91362
Registered with this firm since 1/23/2017
B
LPL FINANCIAL LLC (CRD#:6413)
30700 RUSSELL RANCH RD STE 140, WESTLAKE VILLAGE, CA 91362
23905 LOS CODONA AVE #201, TORRANCE, CA 90505
Registered with this firm since 1/20/2017
Previous Registration(s)
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IA
 09/17/2012 - 01/26/2017 MML INVESTORS SERVICES, LLC (CRD#:10409) PASADENA, CA
B
 09/09/2011 - 01/26/2017 MML INVESTORS SERVICES, LLC (CRD#:10409) PASADENA, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.