Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Patrick Moran is an investment advisor representative who has been in the financial services industry since July 27, 2010. He is currently registered with Vanguard Advisers, Inc. and has been employed by the firm since February 2019. James has earned his Series 6, 7, 63, 65, and SIE licenses and is a Certified Financial Planner. Prior to joining Vanguard Advisers, Inc., James was an investment advisor representative at USAA Financial Advisors, Inc., and held a position at USAA Investment Management Company.
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.
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.
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.
A percentage of the total value of assets under management is charged.
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2
AZ
04/11/2019 - Present
Vanguard Advisers, Inc. (Scottsdale AZ)
AZ
10/04/2011 - 03/07/2019
USAA FINANCIAL ADVISORS, INC. (PHOENIX AZ)
AZ
04/11/2006 - 07/09/2007
EQUITRUST MARKETING SERVICES, LLC (PHOENIX AZ)
IA
Issued 12/07/2012
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/21/2011
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/03/2011
Series 7 - General Securities Representative Examination
BC
Issued 04/10/2006
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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