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James Brian Moran

Capitol Securities Management, Inc.

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About James Brian Moran

James Moran has been in the securities industry since January 1987. James is currently registered with Capitol Securities Management, Inc. and has been with the firm since April 2003. James has worked with several other firms over the years including Gunnallen Financial, Inc, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Paine Webber Incorporated, and Kidder, Peabody & Co. Incorporated. James is a Series 7, Series 24, Series 63, and Series 65 licensed advisor. James Moran is registered in the states of California, Colorado, Connecticut, Delaware, Florida, Massachusetts, Montana, New Jersey, New York, North Carolina, Pennsylvania, Texas, Virginia and Washington.

Firm Information

James Moran is currently registered with Capitol Securities Management, Inc.. Capitol Securities Management, Inc. is a corporation formed in March 1981 and based in Glen Allen, Virginia. They are an SEC-registered investment advisor with over 100 investment advisor representatives and licensed agents. The firm manages between $1 billion and $10 billion in client assets and offers a variety of advisory services including financial planning, pension consulting, educational seminars, portfolio management for individuals and businesses, and selection of other advisors. Their clients include high-net-worth individuals, trusts and estates, corporations, individuals other than high-net-worth, pension plans, and charitable organizations. They are registered in all 50 states and the District of Columbia.
Capitol Securities Management, Inc.

4050 INNSLAKE DRIVE

GLEN ALLEN, VA 23060

$1.40B

Assets Under Management

51

Total Clients

139

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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James Moran’s Registration & Firm History

NY

06/19/2017 - Present

Capitol Securities Management, Inc. (MELVILLE NY)

NJ

09/08/2003 - 08/06/2007

GUNNALLEN FINANCIAL, INC (WAYNE NJ)

VA

04/28/2003 - 09/05/2003

CAPITOL SECURITIES MANAGEMENT, INC. (GLEN ALLEN VA)

NY

01/01/1996 - 12/13/1999

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

NJ

01/28/1995 - 12/18/1995

PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)

NY

09/06/1994 - 01/28/1995

KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)

NY

01/06/1987 - 09/09/1994

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

NA

08/23/1983 - 01/12/1987

PHILIPS, APPEL & WALDEN, INC.

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Licenses & Designations

IA

Issued 11/10/2004

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 02/03/1984

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/19/2003

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/20/1983

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 2 public disclosures for James Brian Moran. Review regulatory record here.
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