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James G Moon
CRD#: 6665301
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 1803 BROADWAY ST
SAN ANTONIO, TX 78215
Registration History
201820192020202120222023202420252026IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2022 - Present (3 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2021 - Present (3 years)BJ.P. MORGAN SECURITIES LLC (CRD# 79)2018 - 2021 (2 years)
License(s)

State Registrations

B
Arizona 12/19/2022

B
New York 1/3/2023

B
California 1/3/2023

B
North Carolina 1/3/2023

B
Colorado 1/3/2023

B
Ohio 6/12/2024

B
Florida 1/3/2023

B
Oklahoma 1/3/2023

B
Georgia 1/3/2023

B
Pennsylvania 1/3/2023

B
Illinois 1/3/2023

B
South Carolina 1/3/2023

B
Iowa 6/27/2023

B
Tennessee 12/19/2022

B
Maine 6/27/2023

B
Texas 11/16/2021

B
Maryland 2/28/2023

IA
Texas 1/4/2022

B
Massachusetts 7/16/2024

B
Vermont 1/3/2023

B
Minnesota 6/27/2023

B
Virginia 1/3/2023

B
Mississippi 8/29/2023

B
Washington 1/3/2023

B
Missouri 1/27/2025

B
Wisconsin 8/29/2023

B
New Mexico 2/28/2023

SRO Registrations

B
Cboe BYX Exchange, Inc.

B
Cboe BZX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
Nasdaq Stock Market

B
New York Stock Exchange

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
1803 BROADWAY ST, SAN ANTONIO, TX 78215
Registered with this firm since 1/4/2022

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
1803 BROADWAY ST, SAN ANTONIO, TX 78215
Registered with this firm since 11/16/2021

Previous Registration(s)
th hidden textth hidden textNameLocation
B
08/14/2018 - 05/19/2021 J.P. MORGAN SECURITIES LLC (CRD#:79) HOUSTON, TX
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B
Broker
IA
Investment Adviser
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.