Francis A. Moran
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Francis Andrew Moran, who also goes by Andy Moran, F. A. Moran, F. Andrew Moran, was a registered financial professional .
Francis is a previously registered financial professional and started their career in finance in 1982. Francis had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 29, 2011 - February 19, 2016
NEWPORT GROUP SECURITIES, INC.
October 26, 1992 - February 19, 2016
NEWPORT GROUP SECURITIES, INC.
February 13, 1987 - December 22, 1987
CAPITOL SECURITIES MANAGEMENT, INC.
March 29, 1985 - February 18, 1987
JOHN HANCOCK DISTRIBUTORS LLC
February 17, 1982 - August 6, 1984
CINCINNATI ANALYSTS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
NEWPORT GROUP SECURITIES, INC.
CRD#: 29722 / SEC#: 801-60427, 8-44508
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEWPORT GROUP HOLDINGS I, INC. | OWNER | |
| KAPLAN, ROBERT BARRY | CCO | 1286735 |
Regulatory assets under management
| Total Number of Accounts | 75 |
| AUM (Assets Under Management) | $ 22,966,874,617 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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