Dara J Moon

$1.96T regulatory AUM 416,984 advisory clients

Reported services (Item 5G)

From the firm’s Form ADV. Read the guides:

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2025-02-14
CT	RA	APPROVED	2025-01-10

Branch Locations

No disclosure categories reported as “Yes” on this SEC record.

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Ridgefield	CT	10/2019	03/2022
University Of Connecticut	Storrs	CT	08/2013	05/2017
University Of Connecticut Dining Services	Storrs	CT	10/2013	05/2017
Bank Of America	Danielson	CT	05/2017	09/2018
Bank Of America	Mansfield	CT	09/2018	10/2019
Morgan Stanley	New Haven	CT	12/2022	Present
Raymond James	New Haven	CT	03/2022	12/2022

10/2019 → 03/2022

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Ridgefield, CT
08/2013 → 05/2017

University Of Connecticut

Storrs, CT
10/2013 → 05/2017

University Of Connecticut Dining Services

Storrs, CT
05/2017 → 09/2018

Bank Of America

Danielson, CT
09/2018 → 10/2019

Bank Of America

Mansfield, CT
12/2022 → Present

Morgan Stanley

New Haven, CT
03/2022 → 12/2022

Raymond James

New Haven, CT

Code	Exam	Date
S66	Uniform Combined State Law Examination	2025-01-10

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