Harold J. Moran
Professional summary
Harold Joseph Moran, AIF®, CFP®, who also goes by Harry Moran, is a registered financial advisor currently at SUSTAINABLE ADVISORS ALLIANCE LLC located in Saratoga Springs, New York.
Harold is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Harold has worked at 6 firms and has passed the Series 63, SIE, Series 62 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Harold Joseph Moran's CRS (Customer Relationship Summary).
Certified licenses
Start date: 1991
Experience
April 15, 2021 - Present
SUSTAINABLE ADVISORS ALLIANCE LLC
September 14, 2011 - April 30, 2021
PORTFOLIO RESOURCES ADVISOR GROUP, INC.
September 1, 2011 - December 31, 2019
PORTFOLIO RESOURCES GROUP, INC.
July 24, 1992 - September 7, 2011
CADARET, GRANT & CO., INC.
April 5, 1988 - July 24, 1992
ADVANTAGE CAPITAL CORPORATION
January 1, 1987 - April 19, 1988
FORESTERS FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
SUSTAINABLE ADVISORS ALLIANCE LLC
CRD#: 312061 / SEC#: 801-120088
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(4/15/2021)
Exams
Series 62
Date: 8/24/1989
Corporate Securities Limited Representative ExaminationCurrent Firm
SUSTAINABLE ADVISORS ALLIANCE LLC
CRD#: 312061 / SEC#: 801-120088
Contact information
SEC notice filing (18 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,064 |
| AUM (Assets Under Management) | $ 206,973,202 |
Red Flags
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