RM
Richard J. Moran
CETERA INVESTMENT ADVISERS LLC
HAMDEN, CT 06514
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CRD#: 2206000
RM
Professional summary
Richard John Moran JR, who also goes by Rich Moran Jr, Richard John Jr Moran, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Hamden, Connecticut and CETERA WEALTH SERVICES, LLC located in Hamden, Connecticut.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Richard has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rich Moran Jr | Richard John Jr Moran
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.
MDZ FIXED INSURANCE POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 10/01/2017 ADDRESS: , Orange CT , United States DESCRIPTION: Agent/Broker NEW HAVEN FOOTBALL OFFICIAL ASSOCIATION POSITION: Member NATURE: Board Member INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 4 START DATE: 12/01/2015 ADDRESS: , New Haven CT , United States DESCRIPTION: Member ORANGE PLAYERS THEATER GROUP POSITION: Director NATURE: Board Member INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2017 ADDRESS: , Orange CT , United States DESCRIPTION: Director VOCALIST/ACTOR POSITION: Independent Contractor NATURE: Service Industry INVESTMENT RELATED: No NUMBER OF HOURS: 6 SECURITIES TRADING HOURS: 0 START DATE: 12/01/2009 ADDRESS: , Hamden CT , United States DESCRIPTION: Independent Contractor WMNR RADIO HOST POSITION: Volunteer NATURE: Service Industry INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 1 START DATE: 10/01/2017 ADDRESS: , Hamden CT , United States DESCRIPTION: Volunteer FIXED INSURANCE SALES POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 10/01/2017 ADDRESS: 109 Sanford St, PO Box 4253, Hamden CT 06514, United States DESCRIPTION: I am a BGA for Securian IDG and have producers appointed through me and Allied Wealth Partners as MGA. I am broker producer with Crump Insurance Services.
CRS (Client Relationship Summary) - RIA
Click below to view Richard John Moran JR'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
August 10, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 109 Sanford St St C4, Hamden, CT 06514RIA
CRD#: 105644
HAMDEN, CT
Current
August 10, 2023 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 109 Sanford St Suite C4, Hamden, CT 06514BD
CRD#: 13572
Hamden, CT
Past
September 2, 1997 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
Hamden, CT
Past
January 30, 1992 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
Hamden, CT
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)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
California(8/10/2023)
RR
Connecticut(8/10/2023)
IAR
Connecticut(8/10/2023)
RR
Florida(8/11/2023)
RR
Massachusetts(8/10/2023)
RR
New York(8/10/2023)
RR
North Carolina(8/10/2023)
RR
Texas(2/28/2025)
IAR
Texas(2/28/2025)
RR
Vermont(7/30/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Hamden, CT 06514TRUST BUT VERIFY
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