Peter J. Moran

FORESIDE FUND SERVICES

Fort Lauderdale, FL 33301

Some features on this profile are disabled

CRD#: 1474477

Professional summary

Peter James Moran, who also goes by Peter James Moran III, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Fort Lauderdale, Florida.

Peter is registered as a RR (Registered Representative) and started their career in finance in 1986. Peter has worked at 11 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Peter James Moran Iii

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 Peter James 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

December 19, 2019 - Present

FORESIDE FUND SERVICES, LLC

Office #1: 350 East Las Olas Boulevard 18th Floor, Fort Lauderdale, FL 33301

CRD#: 46106

Fort Lauderdale, FL

Past

November 4, 2016 - March 2, 2018

FORESIDE FUND SERVICES, LLC

CRD#: 46106

Philadelphia, PA

Past

January 10, 2015 - February 5, 2016

EMERGING GROWTH EQUITIES, LTD.

CRD#: 47040

KING OF PRUSSIA, PA

Past

January 4, 2010 - December 3, 2013

FORESIDE FUND SERVICES, LLC

CRD#: 46106

BERWYN, PA

Past

November 17, 2006 - December 31, 2009

FORESIDE FUNDS DISTRIBUTORS LLC

CRD#: 31334

BERWYN, PA

Past

October 5, 2001 - December 31, 2005

CONSTELLATION INVESTMENT DISTRIBUTION COMPANY INC.

CRD#: 40644

JENKINTOWN, PA

Past

May 9, 1997 - October 1, 2001

SEI INVESTMENTS DISTRIBUTION CO.

CRD#: 10690

OAKS, PA

Past

June 10, 1994 - July 17, 1995

MONTGOMERY SECURITIES

CRD#: 4357

SAN FRANCISCO, CA

Past

September 29, 1992 - May 17, 1994

PACIFIC SELECT DISTRIBUTORS, LLC

CRD#: 4452

NEWPORT BEACH, CA

Past

September 30, 1991 - September 8, 1992

DAVENPORT & COMPANY LLC

CRD#: 1588

RICHMOND, VA

Past

May 18, 1990 - October 3, 1991

FIRST UNION CAPITAL MARKETS CORP.

CRD#: 6124

CHARLOTTE, NC

Past

March 27, 1986 - May 16, 1990

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

Past

March 27, 1986 - May 16, 1990

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

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

Alabama
(1/2/2020)

Alaska
(1/2/2020)

Arizona
(1/2/2020)

Arkansas
(1/2/2020)

California
(1/2/2020)

Colorado
(1/2/2020)

Connecticut
(1/2/2020)

Delaware
(1/2/2020)

District of Columbia
(1/2/2020)

Florida
(1/2/2020)

Georgia
(1/2/2020)

Hawaii
(1/2/2020)

Idaho
(1/2/2020)

Illinois
(1/2/2020)

Indiana
(1/2/2020)

Iowa
(1/2/2020)

Kansas
(1/2/2020)

Kentucky
(1/2/2020)

Louisiana
(1/2/2020)

Maine
(1/2/2020)

Maryland
(1/2/2020)

Massachusetts
(1/2/2020)

Michigan
(1/2/2020)

Minnesota
(1/2/2020)

Mississippi
(1/2/2020)

Missouri
(1/2/2020)

Montana
(1/2/2020)

Nebraska
(1/2/2020)

Nevada
(1/2/2020)

New Hampshire
(1/2/2020)

New Jersey
(1/2/2020)

New Mexico
(1/2/2020)

New York
(1/2/2020)

North Carolina
(1/2/2020)

North Dakota
(1/2/2020)

Ohio
(1/2/2020)

Oklahoma
(1/2/2020)

Oregon
(1/2/2020)

Pennsylvania
(12/19/2019)

Puerto Rico
(1/2/2020)

Rhode Island
(1/2/2020)

South Carolina
(1/2/2020)

South Dakota
(1/2/2020)

Tennessee
(11/7/2023)

Texas
(1/2/2020)

Utah
(1/2/2020)

Vermont
(1/2/2020)

Virginia
(1/2/2020)

Washington
(1/2/2020)

West Virginia
(11/7/2023)

Wisconsin
(1/2/2020)

Wyoming
(1/2/2020)

Exams

State Security Law Exam

IAR

Series 65

Date: 12/19/1991

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/14/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 3/2/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/15/1986

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

FORESIDE FUND SERVICES, LLC

FORESIDE FUND SERVICES, LLC | FORUM FUND SERVICES, LLC

CRD#: 46106 / SEC#: , 8-51293

Broker-Dealer Firm Regulated by FINRA (Boston district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

190 Middle Street Suite 301, Portland, ME 04101

Mailing Address

190 Middle Street Suite 301, Portland, ME 04101

Phone number

(207) 553-7110

Established

Delaware since 09/08/1998

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
FORESIDE DISTRIBUTORS, LLC	SOLE MEMBER
COWAN, TERESA MARIA KAZMIERSKI	PRES/MANAGER/DIRECTOR	1544189
EDELMAN, GABRIEL	SECRETARY	6654419
LA FOND, SUSAN LORENE	TREASURER	4512785
LANZA, CHRISTOPHER CONTE	VICE PRESIDENT	2184856
MACCHIA, KATE SCHENDEL	VICE PRESIDENT	4863973
SOMMERS, WESTON	CFO/FINOP	5290145
STROUT, ALICIA KIMBERLY	CHIEF COMPLIANCE OFFICER/VICE PRESIDENT	6320351

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.

Similar Advisors

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Charles Fischer

RAYMOND JAMES & ASSOCIATES, INC.

IAR

Boca Raton, FL

John Fricker

EQUITABLE ADVISORS, LLC

IAR

Ft. Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Peter J. Moran

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Peter James Moran's CRS (Customer Relationship Summary).

Certified licenses

Experience

FORESIDE FUND SERVICES, LLC

EMERGING GROWTH EQUITIES, LTD.

FORESIDE FUND SERVICES, LLC

FORESIDE FUNDS DISTRIBUTORS LLC

CONSTELLATION INVESTMENT DISTRIBUTION COMPANY INC.

SEI INVESTMENTS DISTRIBUTION CO.

MONTGOMERY SECURITIES

PACIFIC SELECT DISTRIBUTORS, LLC

DAVENPORT & COMPANY LLC

FIRST UNION CAPITAL MARKETS CORP.

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/19/1991

Series 63

Date: 8/14/1986

SIE

Date: 3/2/2018

Series 7

Date: 3/15/1986

FINRA

Current Firm

FORESIDE FUND SERVICES, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

FORESIDE FUND SERVICES, LLC

TRUST BUT VERIFY

Similar Advisors