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Richard Moran

Fnex Capital, LLC

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About Richard Moran

Richard Moran is a financial advisor with over 20 years of experience in the industry. Richard is currently registered with Fnex Capital, LLC and holds Series 7, Series 63, Series 24 and SIE licenses. Richard has previously been affiliated with Foreside Fund Services, LLC, Kingswood Capital Partners, LLC, Capital Guardian, LLC, Symetra Investment Services, Inc., MML Distributors, LLC, Mutual Securities, Inc., UBS Financial Services Inc., Bear, Stearns & Co. Inc., Tower Square Securities, Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Richard is registered in California, Massachusetts and New York.

Firm Information

Richard Moran is currently registered with Fnex Capital, LLC. Fnex Capital, LLC is a Limited Liability Company formed in June 2012. It is registered in all 50 states and the District of Columbia and has received SEC registration approval.

Not reported

Assets Under Management

Not reported

Total Clients

87

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.

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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Richard Moran’s Registration & Firm History

IN

08/19/2024 - Present

Fnex Capital, LLC (INDIANAPOLIS IN)

IN

02/24/2023 - 02/01/2024

FNEX CAPITAL, LLC (INDIANAPOLIS IN)

CA

05/18/2022 - 01/06/2023

FORESIDE FUND SERVICES, LLC (Newport Beach CA)

CA

11/22/2019 - 09/10/2020

KINGSWOOD CAPITAL PARTNERS, LLC (SAN DIEGO CA)

ME

06/29/2017 - 12/04/2017

FORESIDE FUND SERVICES, LLC (PORTLAND ME)

NC

02/04/2015 - 07/28/2015

CAPITAL GUARDIAN, LLC (CHARLOTTE NC)

WA

11/12/2010 - 07/01/2013

SYMETRA INVESTMENT SERVICES, INC. (BELLEVUE WA)

MA

08/01/2006 - 08/31/2009

MML DISTRIBUTORS, LLC (SPRINGFIELD MA)

CA

03/08/2006 - 06/30/2006

MUTUAL SECURITIES, INC. (CAMARILLO CA)

NJ

12/02/1998 - 04/02/2004

UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)

NY

11/14/1996 - 11/16/1998

BEAR, STEARNS & CO. INC. (NEW YORK NY)

CA

02/22/1996 - 10/02/1996

TOWER SQUARE SECURITIES, INC. (EL SEGUNDO CA)

NY

12/11/1992 - 03/01/1994

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

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Licenses & Designations

IA

Issued 09/08/2009

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 12/18/1992

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 09/14/2007

Series 24 - General Securities Principal Examination

BC

Issued 12/04/2017

SIE - Securities Industry Essentials Examination

BC

Issued 12/09/1992

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Richard Moran. Review regulatory record here.
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