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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 with over 24 years of experience in the industry. David Moran is currently registered with Wells Fargo Clearing Services, LLC and is licensed to offer investment advice in several states. Prior to joining Wells Fargo Clearing Services, LLC, David Moran was affiliated with UBS Financial Services Inc. and Sanford C. Bernstein & Co., LLC. David Moran has a broad range of experience, providing investment advice to individuals, businesses, and institutions. David Moran holds several licenses including Series 65, 63, 7, 31, and SIE.
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.
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.
Investment consulting services to institutional clients
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
GA
07/26/2024 - Present
Wells Fargo Clearing Services, LLC (ATLANTA GA)
GA
08/15/2011 - 08/06/2024
UBS FINANCIAL SERVICES INC. (ATLANTA GA)
GA
07/27/2001 - 08/23/2011
SANFORD C. BERNSTEIN & CO., LLC (ATLANTA GA)
GA
06/10/2011 - 06/24/2011
UBS FINANCIAL SERVICES INC. (ATLANTA GA)
NY
10/18/1999 - 07/12/2001
MORGAN STANLEY DW INC. (PURCHASE NY)
IA
Issued 10/08/2003
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/09/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/17/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 10/15/1999
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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