Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Brierly Moon is a financial advisor who has been in the industry since 1981. James currently works with Raymond James & Associates, Inc. James is registered with the state of Virginia and also holds licenses in several other states. James has a diverse set of licenses and qualifications which include a Series 7, Series 63, and Series 65 license. James also specializes in various financial areas such as investment advisory services, portfolio management, pension consulting and financial planning.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Please see note in schedule d - miscellaneous
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
VA
02/13/2013 - Present
Raymond James & Associates, Inc. (RICHMOND VA)
VA
10/21/2005 - 02/13/2013
MORGAN KEEGAN & COMPANY, INC. (KILMARNOCK VA)
VA
01/02/1984 - 11/03/2005
ADVEST, INC. (KILMARNOCK VA)
NA
06/16/1983 - 01/03/1984
CECIL, WALLER & STERLING, INC.
NA
08/17/1981 - 05/27/1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
IA
Issued 12/16/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/22/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/15/1981
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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