Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Moran is an investment advisor representative with over 25 years of experience in the financial services industry. He is currently registered with Oppenheimer & Co. Inc. in Michigan, Nevada and Ohio. Prior to joining Oppenheimer, James was registered with MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED. James is a Series 65, 66, 7 and SIE licensed professional. He has an active Securities Industry Essentials Examination (SIE) license and general Securities Representative Examination (Series 7) license. James has a broad range of experience working with high-net-worth individuals, corporations, and other institutions.
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.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
MI
06/30/2009 - Present
Oppenheimer & Co. Inc. (BIRMINGHAM MI)
MI
03/11/1998 - 03/11/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (AUBURN HILLS MI)
IA
Issued 10/14/2009
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 04/16/1998
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/09/1998
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure James Moran is the right advisor for you? Invested Better is here to help.
