John S. Moran

ROBOTTI SECURITIES

New York, NY 10017

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CRD#: 1162193

Professional summary

John Stanley Moran is a registered financial professional currently at ROBOTTI SECURITIES, LLC located in New York, New York.

John is registered as a RR (Registered Representative) and started their career in finance in 1995. John has worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view John Stanley Moran's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

March 29, 2018 - Present

ROBOTTI SECURITIES, LLC

Office #1: 125 Park Avenue, Suite 1607, New York, NY 10017

CRD#: 13251

New York, NY

Past

June 26, 2015 - March 26, 2018

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

CLAYTON, MO

Past

June 26, 2015 - March 26, 2018

J.P. MORGAN SECURITIES LLC

CRD#: 79

CLAYTON, MO

Past

January 13, 2011 - July 15, 2015

MORGAN STANLEY

RIA

CRD#: 149777

CLAYTON, MO

Past

January 13, 2011 - July 15, 2015

MORGAN STANLEY

CRD#: 149777

CLAYTON, MO

Past

January 23, 1997 - January 13, 2011

INGALLS & SNYDER, LLC

CRD#: 2288

ST. LOUIS, MO

Past

July 26, 1995 - May 3, 1996

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(3/29/2018)

Florida
(7/10/2018)

Missouri
(4/12/2018)

New York
(3/29/2018)

Texas
(3/29/2018)

Exams

State Security Law Exam

Series 63

Date: 7/31/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/25/1995

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

ROBOTTI SECURITIES, LLC

ROBOTTI & COMPANY, INCORPORATED | ROBOTTI SECURITIES, LLC | ROBOTTI & ENG, INCORPORATED | ROBOTTI & ENG, INC. | ROBOTTI & COMPANY, LLC

CRD#: 13251 / SEC#: , 8-28886

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

125 Park Avenue, Suite 1607, New York, NY 10017

Mailing Address

125 Park Avenue, Suite 1607, New York, NY 10017

Phone number

(212) 986-4800

Established

New York since 03/07/2003

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (32 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
ROBOTTI & COMPANY, INCORPORATED	STOCKHOLDER 100% OWNER OF APPLICANT
KELLEHER, DENNIS MICHAEL	CHIEF COMPLIANCE OFFICER	2107342
MCQUEENEY, DAVID VINCENT	SROP, ROP	2440806
MEVORAH, ERWIN I	CFO, FIN/OP & SECRETARY	1944735
ROBOTTI, ROBERT EDWARD	PRESIDENT, CEO, GSP, TREASURER	732905
ROBOTTI, SUZANNE BENSON	DIRECTOR	4616454
SEKLIR, NANCY ELIZABETH	DIRECTOR	1756843
WASIAK, KENNETH RONALD	DIRECTOR	1485703

Disclosures

Regulatory Event

Red Flags

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John S. Moran

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view John Stanley Moran's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

MORGAN STANLEY

MORGAN STANLEY

INGALLS & SNYDER, LLC

UBS FINANCIAL SERVICES INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/31/1995

SIE

Date: 10/1/2018

Series 7

Date: 7/25/1995

FINRA

Current Firm

ROBOTTI SECURITIES, LLC

Contact information

FINRA licenses (32 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ROBOTTI SECURITIES, LLC

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