MM
Michael A. Moran
MIAMI VALLEY PORTFOLIO MANAGEMENT
BROOKVILLE, OH 45309
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CRD#: 1410722
MM
Professional summary
Michael Andrew Moran is a registered financial advisor currently at MIAMI VALLEY PORTFOLIO MANAGEMENT INC located in Brookville, Ohio and STONEX SECURITIES INC. located in Brookville, Ohio.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Michael has worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 26 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)MVP MANAGEMENT INC,
475 ARLINGTON RD,
BROOKVILLE, OHIO 45309:
CORPORATION,
NATURE OF BUS: RIA,
TITLE: CCO/CORP SEC/IAR,
DUTIES: OPERATIONS, COMPLIANCE & SALES,
TIME SPENT: 70%,
2)BEHNKEN FINANCIAL SERVICES,
475 ARLINGTON RD,
BROOKVILLE, OH 45309:
CORPORATION,
NATURE OF BUS: INSURANCE AGENCY-LIFE INS/ANNUITY/LTC/AND HEALTH,
TITLE: SALES,
PERCENT OF TIME 20%,
3)MIKE MORAN,
475 ARLINGTON RD,
BROOKVILLE, OH 45309:
PARTNERSHIP,
NATURE OF BUS: RENT SMALL FARMLAND,
TITLE: PART OWNER,
TIME SPENT: 0,
4)Kiwanis Club of Brookville
263 Joanna Street, Brookville, OH 45309
Local community service club
Non-investment related
Member/director/officer
Eat lunch and perform community service-club has very few members-positions are rotated and all members are directors
05/05/09
3 hours spent per month; 2 hours spent during market hours
CRS (Client Relationship Summary) - RIA
Click below to view Michael Andrew 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
May 26, 1999 - Present
MIAMI VALLEY PORTFOLIO MANAGEMENT INC
Office #1: 475 Arlington Rd, Brookville, OH 45309RIA
CRD#: 106389
BROOKVILLE, OH
Current
September 12, 2014 - Present
STONEX SECURITIES INC.
Office #1: 475 Arlington Road, Brookville, OH 45309Office #2: 28 E. Rahn Road Suite 108, Dayton, OH 45429Office #3: 545 Metro Place Suite 100, Dublin, OH 43017BD
CRD#: 18456
Brookville, OH
Past
January 30, 2015 - July 12, 2017
STONEX ADVISORS INC.
RIA
CRD#: 174182
BIRMINGHAM, AL
Past
February 2, 2004 - January 30, 2015
WRP INVESTMENTS, INC.
RIA
CRD#: 7365
BROOKVILLE, OH
Past
June 10, 1988 - September 12, 2014
WRP INVESTMENTS, INC.
BD
CRD#: 7365
BROOKVILLE, OH
Past
October 3, 1985 - June 24, 1988
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
EDISON, NJ
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".
MV
MIAMI VALLEY PORTFOLIO MANAGEMENT INC
BEHNKEN FINANCIAL | MVP MANAGEMENT INC. | MIAMI VALLEY PORTFOLIO MANAGEMENT INC
CRD#: 106389 / SEC#: 801-121421
RIA
Registered Investment Advisory firm - (6/7/2021 Approved)Florida
Registered Investment Advisory firm - (5/24/2023 Terminated)Ohio
Registered Investment Advisory firm - (5/24/2023 Terminated)Texas
Registered Investment Advisory firm - (5/24/2023 Terminated)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
Alabama(9/12/2014)
IAR
Florida(7/11/2012)
RR
Florida(9/12/2014)
RR
Georgia(9/12/2014)
RR
Illinois(9/12/2014)
RR
Indiana(9/12/2014)
RR
Kentucky(3/2/2018)
RR
New York(9/12/2014)
RR
North Carolina(11/3/2022)
IAR
Ohio(5/26/1999)
RR
Ohio(9/12/2014)
RR
Washington(7/24/2023)
RR
West Virginia(9/12/2014)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
MV
MIAMI VALLEY PORTFOLIO MANAGEMENT INC
BEHNKEN FINANCIAL | MVP MANAGEMENT INC. | MIAMI VALLEY PORTFOLIO MANAGEMENT INC
CRD#: 106389 / SEC#: 801-121421
RIA
Registered Investment Advisory firm - (6/7/2021 Approved)Florida
Registered Investment Advisory firm - (5/24/2023 Terminated)Ohio
Registered Investment Advisory firm - (5/24/2023 Terminated)Texas
Registered Investment Advisory firm - (5/24/2023 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
475 Arlington Road, Brookville, OH 45309
Mailing Address
Phone number
(937) 833-4043
Established
Firm type
Fiscal year end
# of Employees
5
SEC notice filing (3 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,068 |
| AUM (Assets Under Management) | $ 189,019,773 |
Red Flags
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Company Information
MIAMI VALLEY PORTFOLIO MANAGEMENT INC
CRD#: 106389Brookville, OH 45309TRUST BUT VERIFY
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Contact information
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