James Brian Moran
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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
43 years in the financial services industry
Current & Past Employments
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Current Firm
CAPITOL SECURITIES MANAGEMENT, INC. | IFS SECURITIES, INC. | FS SECURITIES, INC.
Contact Information
Main Address
4050 Innslake Drive Suite 250, Glen Allen, VA 23060Mailing Address
4050 Innslake Drive Suite 250, Glen Allen, VA 23060Phone Number
(804) 612-9700Established
Virginia since 03/22/1981Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
170SEC notice filing (52 States and Territories)
Registered to provide investment advisory services in 52 US states and territories.
FINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 52 US states and territories.
Documents
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
3,970AUM (Assets Under Management)
$2,162,366,778Disclosures
Regulatory Event
10Arbitration
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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.
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Primary Firm SEC Registration
CAPITOL SECURITIES MANAGEMENT, INC. | IFS SECURITIES, INC. | FS SECURITIES, INC.
State Registrations and Notice Filings
(5/7/2026)
(7/31/2007)
(7/28/2010)
(12/4/2007)
(12/6/2022)
(7/28/2010)
(12/15/2021)
(8/1/2007)
(7/24/2007)
(3/26/2020)
(4/10/2017)
(8/2/2007)
(6/19/2017)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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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).
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