Theodore R. Moran
Professional summary
Theodore Randolph Moran, who also goes by Theodore Randolph Moran III, Theodore R Moran, Theodore Moran III, Theodore Moran, is a registered financial professional currently at PIMCO INVESTMENTS LLC located in New York, New York.
Theodore is registered as a RR (Registered Representative) and started their career in finance in 1993. Theodore has 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) - BD
Click below to view Theodore Randolph Moran's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 17, 2022 - Present
PIMCO INVESTMENTS LLC
Office #1: 1633 Broadway 45th Floor, New York, NY 10019June 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
(3/17/2022)
(3/17/2022)
Exams
FINRA
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 |
| DUBITZKY, YITZHAK ZVI | CHIEF COMPLIANCE OFFICER & CHIEF LEGAL OFFICER | 6897287 |
| FERRARI, DAVID RICHARD | PRINCIPAL FINANCIAL OFFICER & FINANCIAL AND OPERATIONS PRINCIPAL | 6004690 |
| HALL, GREGORY WESTON | PRINCIPAL EXECUTIVE OFFICER & CHAIRMAN, BOARD OF MANAGERS | 3111343 |
| 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 |
| TRACY, LAUREN RITA | MANAGER, BOARD OF MANAGERS | 4027974 |
| WHITTAKER, MEGAN HAYES | AML COMPLIANCE OFFICER | 6442805 |
Red Flags
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