Theodore R. 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.
Theodore Randolph Moran, who also goes by Theodore Randolph Moran III, Theodore R Moran, Theodore Moran III, Theodore Moran, was a registered financial professional .
Theodore is a previously registered financial professional and started their career in finance in 1993. Theodore had worked at 10 firms and has passed the Series 65, Series 63, SIE 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 17, 2022 - April 22, 2026
PIMCO INVESTMENTS LLC
June 11, 2020 - March 1, 2022
NUVEEN ASSET MANAGEMENT, LLC
June 8, 2020 - March 1, 2022
NUVEEN SECURITIES, LLC
September 13, 2019 - June 1, 2020
AMERICAN CENTURY INVESTMENT SERVICES INC.
November 2, 2011 - September 5, 2019
DELAWARE CAPITAL MANAGEMENT ADVISERS, INC
November 1, 2011 - September 5, 2019
DELAWARE DISTRIBUTORS, L.P.
December 5, 2007 - August 3, 2011
TOCQUEVILLE SECURITIES L.P.
March 24, 2006 - November 27, 2007
CLEARBRIDGE INVESTMENTS, LLC
December 1, 2005 - November 27, 2007
FRANKLIN DISTRIBUTORS, LLC
April 9, 1997 - December 1, 2005
CITIGROUP GLOBAL MARKETS INC.
February 5, 1993 - April 25, 1995
CITIGROUP GLOBAL MARKETS INC.
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
Current Firm
PIMCO INVESTMENTS LLC
CRD#: 154957 / SEC#: , 8-68686
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PACIFIC INVESTMENT MANAGEMENT COMPANY LLC | SOLE MEMBER | 104559 |
| BENTLEY, JAMES DANIEL | MANAGER, BOARD OF MANAGERS | 5138093 |
| BURG, ANTHONY ALAN | TREASURER | 6005184 |
| FERRARI, DAVID RICHARD | PRINCIPAL FINANCIAL OFFICER & FINANCIAL AND OPERATIONS PRINCIPAL | 6004690 |
| HALL, GREGORY WESTON | PRINCIPAL EXECUTIVE OFFICER & CHAIRMAN, BOARD OF MANAGERS | 3111343 |
| MURPHY, JORDAN MITCHELL | CHIEF COMPLIANCE OFFICER | 4221561 |
| OGLESBY, SARAH JANE | SECRETARY | 7676855 |
| PITTERS, CALEB JOSEPH ALEXANDER JR | MANAGER, BOARD OF MANAGERS | 3198603 |
| SUTHERLAND, ERIC MICHAEL | PRESIDENT & MANAGER, BOARD OF MANAGERS | 1724744 |
| THOMAS, MARK GARETH | HEAD OF BUSINESS MANAGEMENT | 2923871 |
| WHITTAKER, MEGAN HAYES | AML COMPLIANCE OFFICER | 6442805 |
| WHITTEN, CANDICE STACK | MANAGER, BOARD OF MANAGERS | 4460452 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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