David Moon, Senior Compliance Advisor

David Moon is senior compliance advisor on the Branch Audit team at Commonwealth. 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.

Managing Client Expectations: How to Answer 3 Common Questions
Creating best practices can better prepare you for common questions that may arise during client meetings and is essential to managing client expectations.
David Moon
01.28.20

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Managing Client Expectations: How to Answer 3 Common Questions