Commonwealth Independent Advisor

David Moon

David Moon is senior compliance advisor, branch audit, at Commonwealth Financial Network®, member FINRA/SIPC, the nation's largest privately held Registered Investment Adviser–independent broker/dealer. He joined the firm in May 2012 and currently focuses on conducting annual branch office compliance visits and works with the broader team on the continuous development and implementation of compliance policies and procedures. David holds his FINRA Series 7, 24, 52, 53, and 66 securities registrations.

Information about securities-registered professionals may be found at FINRA BROKERCHECK.

Recent Posts

Managing Client Expectations: How to Answer 3 Common Questions

Managing Client Expectations: How to Answer 3 Common Questions

Posted by David Moon

January 28, 2020 at 10:00 AM

Being an auditor has given me the opportunity to speak with many of our advisors and see, firsthand, the best practices they’ve implemented for working with clients. But even with their own established procedures in place, they often wonder if what they’re doing is enough, and are curious about how other advisors are managing client expectations.

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Topics: Compliance

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