Robert P. Moran
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Robert Patrick Moran was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1989. Robert had worked at 13 firms and has passed the Series 66, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 9, 2011 - October 3, 2012
WELLS FARGO CLEARING SERVICES, LLC
October 3, 2008 - December 10, 2008
MARTINEZ-AYME SECURITIES
August 22, 2008 - October 3, 2008
FOUR POINTS CAPITAL PARTNERS LLC
July 3, 2008 - August 4, 2008
CELADON FINANCIAL GROUP LLC
June 29, 2004 - June 27, 2008
NEWBRIDGE SECURITIES CORPORATION
January 7, 2004 - June 7, 2004
TRACK DATA SECURITIES CORPORATION
September 4, 2003 - January 20, 2004
EQUITABLE ADVISORS, LLC
June 25, 2003 - January 20, 2004
EQUITABLE ADVISORS, LLC
October 19, 2001 - June 3, 2003
MONARCH FINANCIAL CORPORATION OF AMERICA
December 10, 1998 - October 8, 2001
PERSHING ADVISOR SOLUTIONS LLC
February 3, 1997 - November 25, 1998
SHARPE CAPITAL, INC.
November 30, 1995 - December 14, 1996
KNIGHT CAPITAL AMERICAS, L.P.
February 20, 1990 - October 26, 1995
NASH, WEISS & CO.
January 24, 1989 - March 30, 1990
ANDREW ALEN SECURITIES, INC.
Primary Firm SEC Registration
WELLS FARGO CLEARING SERVICES, LLC
CRD#: 19616 / SEC#: 801-37967, 8-37180
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 9/25/1999
Limited Representative-Equity Trader ExamCurrent Firm
WELLS FARGO CLEARING SERVICES, LLC
CRD#: 19616 / SEC#: 801-37967, 8-37180
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WACHOVIA SECURITIES FINANCIAL HOLDINGS, LLC | SOLE MEMBER | |
| CRONK, DARRELL | HEAD OF INVESTMENT SOLUTIONS / WIM CHIEF INVESTMENT OFFICER / BOARD OF MANAGERS / CONTROL PRINCIPAL | 2498892 |
| GINDI, SOL | PRESIDENT / HEAD OF WIM DISTRIBUTION / BOARD OF MANAGERS / CONTROL PRINCIPAL | 4903526 |
| KARANIK, ERIK ANTHONY | BOARD OF MANAGERS | 2260890 |
| LACEY, PAUL | PRINCIPAL OPERATIONS OFFICER / CONTROL PRINCIPAL | 5616656 |
| PATEL, RAKESH | CHIEF FINANCIAL OFFICER / BOARD OF MANAGERS | 5385585 |
| SAUNDERS, DAVID WARD | DESIGNATED STATE PRINCIPAL | 2448617 |
| SOMESHWAR, PRASANNA | HEAD OF BANKING, LENDING & TRUST / CONTROL PRINCIPAL | 7491790 |
| SOMMERS, BARRY | CHIEF EXECUTIVE OFFICER / BOARD OF MANAGERS | 2301454 |
| TSAMADIAS, CHRISTOS G | CHIEF COMPLIANCE OFFICER | 5433568 |
Regulatory assets under management
| Total Number of Accounts | 1,327,695 |
| AUM (Assets Under Management) | $ 606,037,831,365 |
Disclosures
| Regulatory Event | 182 |
| Civil Event | 2 |
| Arbitration | 303 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 12/11/2023 | ||
| 02/17/2023 |
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.
