David Moran, financial advisor New Haven CT

David Moran

CRD Number: 2984693
Current Firm: Raymond James & Associates, Inc.

David Moran (CRD# 2984693) is an Investment Advisor Representative working at Raymond James & Associates, Inc. in New Haven, CT and has over 26 years of experience in the finance industry.

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Company Name Location Dates Years
Raymond James & Associates, Inc. New Haven, CT Dec 2019 - Current 4
Morgan Stanley Private Bank, National Association New York, NY Jan 2015 - Dec 2019 4
Morgan Stanley Smith Barney New Haven, CT Jun 2009 - Dec 2019 10
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jan 1998
S65 NASAA Investment Advisors Law Examination Jan 1998
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, financial matters, and other matters required to be disclosed in which the advisor has been involved.

Get Details on the FINRA Advisor Check site
Contact Info for David M. Moran
Phone Number: 727-567-1000
Registered State(s):
  • CT
  • TX
By the Numbers
  • Total Assets Under Management
    350,042
    MILLIONS
  • Total Number of Accounts
    992,551
    ACCOUNTS
  • Average Account Value
    $352,669
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY

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