JM
James B. Moran
CAPITOL SECURITIES MANAGEMENT
Naples, FL 34102
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CRD#: 1180416
JM
Professional summary
James Brian Moran is a registered financial advisor currently at CAPITOL SECURITIES MANAGEMENT, INC. located in Naples, Florida.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. James has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1) Name of Business: Washington Capitol Group LLC. Investment-related: Yes Address: 649 Fifth Ave South Ste 215 Naples Fl 34102 2) Name of Business: NEW YORK CAPITOL GROUP LLC Investment-related: Yes Address: 2728 Tiburon Blvd. East Unit A-206. Naples, FL 34109. Nature of the other business: BUSINESS CONSULTATION, AFFINITY SERVICES, BUSINESS ADVISORY SERVICES, CORPORATE EXECUTIVE SERVICES, CORPORATE STRUCTURE & BUILD OUT, STRATEGIC ALLIANCES/ANALYSIS, PROFESSIONAL SERVICES, NON-VAIRABLE INSURANCE SALES. Position, title, or relationship with the other business: PRESIDENT. Start date: 11/01/2014. Approx number of hours/month you devote to the other business: 20-24 Approx number of hours/month you devote to the other business during securities trading hours:8 Describe your duties relating to the other business: BUSINESS CONSULTATION, AFFINITY SERVICES, BUSINESS ADVISORY SERVICES, CORPORATE EXECUTIVE SERVICES, CORPORATE STRUCTURE & BUILD OUT, STRATEGIC ALLIANCES/ANALYSIS, PROFESSIONAL SERVICES, NON-VAIRABLE INSURANCE SALES.
CRS (Client Relationship Summary) - RIA
Click below to view James Brian Moran's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Brian Moran's 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®
NoneExperience
Current
August 1, 2007 - Present
CAPITOL SECURITIES MANAGEMENT, INC.
Office #1: 365 Fifth Ave. South Ste. 206, Naples, FL 34102RIA
BD
CRD#: 14169
Naples, FL
Current
July 24, 2007 - Present
CAPITOL SECURITIES MANAGEMENT, INC.
Office #1: 365 Fifth Ave. South Ste. 206, Naples, FL 34102RIA
BD
CRD#: 14169
Naples, FL
Past
May 2, 2006 - August 6, 2007
GUNNALLEN FINANCIAL, INC
RIA
CRD#: 17609
WAYNE, NJ
Past
September 8, 2003 - August 6, 2007
GUNNALLEN FINANCIAL, INC
BD
CRD#: 17609
WAYNE, NJ
Past
April 28, 2003 - September 5, 2003
CAPITOL SECURITIES MANAGEMENT, INC.
BD
CRD#: 14169
GLEN ALLEN, VA
Past
January 1, 1996 - December 13, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
January 28, 1995 - December 18, 1995
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
September 6, 1994 - January 28, 1995
KIDDER, PEABODY & CO. INCORPORATED
BD
CRD#: 7613
NEW YORK, NY
Past
January 6, 1987 - September 9, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
August 23, 1983 - January 12, 1987
PHILIPS, APPEL & WALDEN, INC.
BD
CRD#: 659
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CS
CAPITOL SECURITIES MANAGEMENT, INC.
CAPITOL SECURITIES MANAGEMENT, INC. | IFS SECURITIES, INC. | FS SECURITIES, INC.
CRD#: 14169 / SEC#: 801-41033, 8-30353
RIA
Registered Investment Advisory firm - SEC (3/16/1992 Approved)California
Registered Investment Advisory firm - SEC (2/23/2001 Cancelled)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
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
RR
California(7/31/2007)
RR
Delaware(7/28/2010)
RR
Florida(12/4/2007)
IAR
Florida(12/6/2022)
RR
Massachusetts(7/28/2010)
RR
Montana(12/15/2021)
RR
New Jersey(8/1/2007)
IAR
New Jersey(8/1/2007)
RR
New York(7/24/2007)
RR
North Carolina(3/26/2020)
RR
Pennsylvania(4/10/2017)
RR
Texas(8/2/2007)
IAR
Texas(6/19/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CS
CAPITOL SECURITIES MANAGEMENT, INC.
CAPITOL SECURITIES MANAGEMENT, INC. | IFS SECURITIES, INC. | FS SECURITIES, INC.
CRD#: 14169 / SEC#: 801-41033, 8-30353
RIA
Registered Investment Advisory firm - SEC (3/16/1992 Approved)California
Registered Investment Advisory firm - SEC (2/23/2001 Cancelled)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
4050 Innslake Drive Suite 250, Glen Allen, VA 23060
Mailing Address
4050 Innslake Drive Suite 250, Glen Allen, VA 23060
Phone number
(804) 612-9700
Established
Virginia since 03/22/1981
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
170
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 3,745 |
| AUM (Assets Under Management) | $ 1,818,741,357 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
