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Thomas W. Moran

Osaic Institutions, Inc.

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About Thomas W. Moran

Thomas W. Moran is an investment advisor representative with Osaic Institutions, Inc. Thomas W. Moran has been in the industry since April 9, 1988. Thomas W. Moran has been registered with the Securities and Exchange Commission (SEC) since March 8, 2019, and is also registered with the state of Texas. Prior to working at Osaic Institutions, Inc., Thomas W. Moran worked at LPL Financial, LLC. Thomas W. Moran has a wide range of experience in the financial industry and is dedicated to providing clients with personalized financial advice.

Firm Information

Thomas Moran is currently registered with Osaic Institutions, Inc.. Osaic Institutions, Inc. is a Corporation headquartered in MERIDEN, CT, United States. The firm was formed on 1993-04-07 and is registered with the SEC and in 53 states. Osaic Institutions, Inc. provides financial planning, pension consulting, educational seminars, and other advisory services to a wide range of clients, including individuals, corporations, charitable organizations, and high net worth individuals. The firm manages approximately $3,626,644,800 in assets and has over 1,700 licensed agents, investment adviser representatives, and registered representatives.
Osaic Institutions, Inc.

538 PRESTON AVENUE

MERIDEN, CT 06450-4858

$3.63B

Assets Under Management

25

Total Clients

641

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 individuals

Personalized portfolio management to meet individual financial objectives.

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solicitation services for other advisers

Solicitation services for other advisers

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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Thomas Moran’s Registration & Firm History

CT

11/07/2024 - Present

Osaic Institutions, Inc. (Oakville CT)

CT

10/11/2011 - 03/15/2019

LPL FINANCIAL LLC (WATERTOWN CT)

CT

02/13/2007 - 10/11/2011

UVEST FINANCIAL SERVICES GROUP, INC. (WATERTOWN CT)

CT

07/15/1999 - 02/13/2007

WEBSTER INVESTMENT SERVICES, INC. (WATERTOWN CT)

NY

01/13/1995 - 07/15/1999

LIBERTY SECURITIES CORPORATION (PURCHASE NY)

MN

08/09/1993 - 01/25/1995

FBS INVESTMENT SERVICES, INC. (SAINT PAUL MN)

MA

01/03/1992 - 08/06/1993

SUN INVESTMENT SERVICES COMPANY (WELLESLEY HILLS MA)

MN

02/24/1988 - 11/19/1991

AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)

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Licenses & Designations

IA

Issued 06/19/1995

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 03/02/1988

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/05/1995

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/20/1988

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Thomas W. Moran. Review regulatory record here.
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