Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Moran is a financial advisor who has been in the industry since 1998. David is currently registered with Raymond James & Associates, Inc. in Connecticut and Texas. David has held previous positions at Morgan Stanley and UBS Financial Services Inc. David has a Series 7, Series 63, and Series 65 license and is registered in multiple states. David provides a range of services including financial planning, pension consulting, and portfolio management. David specializes in providing financial advice to individuals, high-net-worth individuals, corporations, businesses, and pension and profit-sharing plans.
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
CT
12/23/2019 - Present
Raymond James & Associates, Inc. (NEW HAVEN CT)
CT
06/01/2009 - 12/04/2019
MORGAN STANLEY (NEW HAVEN CT)
CT
03/18/2008 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (NEW HAVEN CT)
CT
01/09/1998 - 03/26/2008
UBS FINANCIAL SERVICES INC. (NEW HAVEN CT)
BC
Issued 01/26/1998
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 01/20/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/08/1998
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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