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Roderick Henry Moon

Kpmg Corporate Finance LLC

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About Roderick Henry Moon

Roderick Henry Moon is a financial professional with over 20 years of experience in the industry. He is currently registered with KPMG Corporate Finance LLC. Roderick has held previous roles with several firms including Oppenheimer & Co. Inc., MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, and Jefferies & Company, Inc. Roderick holds the Series 7, Series 24, Series 63, Series 79, and SIE licenses. Roderick is registered in 36 states and is a FINRA-approved representative.

Firm Information

Roderick Moon is currently registered with Kpmg Corporate Finance LLC. Kpmg Corporate Finance LLC is a Limited Liability Company formed in February 2000. The firm is registered in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. It is also registered with the Securities and Exchange Commission (SEC).

Not reported

Assets Under Management

Not reported

Total Clients

53

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Roderick Moon’s Registration & Firm History

MA

03/12/2018 - Present

Kpmg Corporate Finance LLC (Boston MA)

NY

10/02/2015 - 02/23/2018

WALLER CAPITAL SECURITIES LLC (NEW YORK NY)

NY

10/22/2012 - 09/17/2015

OPPENHEIMER & CO. INC. (NEW YORK NY)

NY

10/26/2011 - 10/15/2012

M.E.S.A. SECURITIES, INC. (NEW YORK NY)

FL

08/05/2011 - 10/03/2011

TRUMP SECURITIES, LLC (BOCA RATON FL)

MA

06/06/2007 - 12/10/2010

JEFFERIES & COMPANY, INC. (WALTHAM MA)

NY

05/20/2004 - 05/29/2007

ALLEN & COMPANY LLC (NEW YORK NY)

NY

09/12/2002 - 05/12/2004

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

NY

10/30/2001 - 03/01/2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

NY

10/08/1997 - 09/10/1998

CITICORP SECURITIES, INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 11/03/2001

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/09/2006

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/29/2001

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Roderick Henry Moon.
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