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RM

Richard T. Moran

FNEX CAPITAL
Indianapolis, IN 46204
Some features on this profile are disabled
CRD#: 2288850
RM

Professional summary

Richard Thomas Moran, who also goes by Rich T Moran, Richard Thomas Moran, is a registered financial professional currently at FNEX CAPITAL, LLC located in Indianapolis, Indiana.

Richard is registered as a RR (Registered Representative) and started their career in finance in 1992. Richard has worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Rich T Moran | Richard Thomas 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Richard Thomas Moran's CRS (Customer Relationship Summary).
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®
None

Experience

Current

August 19, 2024 - Present

FNEX CAPITAL, LLC

Office #1: One Indiana Square Suite 2252, Indianapolis, IN 46204
BD
CRD#: 166316
Indianapolis, IN
Past

February 24, 2023 - February 1, 2024

FNEX CAPITAL, LLC

BD
CRD#: 166316
INDIANAPOLIS, IN
Past

May 18, 2022 - January 6, 2023

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
Newport Beach, CA
Past

November 22, 2019 - September 10, 2020

KINGSWOOD CAPITAL PARTNERS, LLC

BD
CRD#: 288898
SAN DIEGO, CA
Past

June 29, 2017 - December 4, 2017

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
PORTLAND, ME
Past

February 4, 2015 - July 28, 2015

CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC

RIA
CRD#: 131631
CHARLOTTE, NC
Past

February 4, 2015 - July 28, 2015

CAPITAL GUARDIAN, LLC

BD
CRD#: 137919
CHARLOTTE, NC
Past

November 12, 2010 - July 1, 2013

SIGNATOR FINANCIAL SERVICES, INC.

BD
CRD#: 19061
BELLEVUE, WA
Past

October 28, 2010 - July 1, 2013

SIGNATOR FINANCIAL SERVICES, INC.

RIA
CRD#: 19061
BELLEVUE, WA
Past

January 26, 2010 - November 11, 2010

WESTLAKE INVESTMENT ADVISORS, LLC

RIA
CRD#: 152663
WESTLAKE VILLAGE, CA
Past

August 1, 2006 - August 31, 2009

MML DISTRIBUTORS, LLC

BD
CRD#: 38030
SPRINGFIELD, MA
Past

March 8, 2006 - June 30, 2006

MUTUAL SECURITIES, INC.

BD
CRD#: 13092
CAMARILLO, CA
Past

January 28, 1999 - April 2, 2004

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
LOS ANGELES, CA
Past

December 2, 1998 - April 2, 2004

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

November 14, 1996 - November 16, 1998

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

February 22, 1996 - October 2, 1996

TOWER SQUARE SECURITIES, INC.

BD
CRD#: 833
EL SEGUNDO, CA
Past

December 11, 1992 - March 1, 1994

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
(8/20/2024)
RR
Massachusetts
(8/21/2024)
RR
New York
(8/20/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 9/8/2009
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/18/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/4/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/9/1992
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/14/2007
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

FC
FNEX CAPITAL, LLC
APPLIED CAPITAL, LLC | FNEX CAPITAL, LLC

CRD#: 166316 / SEC#: , 8-69199

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
One Indiana Square Suite 2252, Indianapolis, IN 46204
Mailing Address
One Indiana Square Suite 2252, Indianapolis, IN 46204
Phone number
(317) 580-2588
Established
Indiana since 06/04/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FNEX, LLCMEMBER
HEGER, LOREN EUGENECEO, CCO, AMLCO, EXEC. REP.6143753
TEUFEL, FREDERICK CHARLESFINOP2092408

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

FNEX CAPITAL, LLC

CRD#: 166316Indianapolis, IN 46204

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