Patrick K. Moran

PLATFORM TECHNOLOGY PARTNERS

Locust Valley, NY

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CRD#: 2502331

Professional summary

Patrick Kirley Moran is a registered financial advisor currently at PLATFORM TECHNOLOGY PARTNERS located in Locust Valley, New York and SPIRE SECURITIES, LLC located in Woodbury, New York.

Patrick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Patrick has worked at 7 firms and has passed the Series 65, Series 63, Series 57TO, SIE, Series 55, Series 25, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

1. DOGWOOD LANE CAPITAL, 73 DOGWOOD LN LOCUST VALLEY NY 11560 - NATURE: CONSULTANT/ADVISOR - ROLE: MANAGING PARTNER/PRESIDENT - HRS PER WEEK DEVOTED TO THIS ACTIVITY DURING THE FIRM'S BUSINESS HRS: 40 (BRAND). 2. IAR of PTP, DBA Northeast Private Wealth. Start date Jan 2023. Fee Based investment advisory services.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Patrick Kirley 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

January 13, 2022 - Present

PLATFORM TECHNOLOGY PARTNERS

RIA

CRD#: 305602

Locust Valley, NY

Current

January 3, 2022 - Present

SPIRE SECURITIES, LLC

Office #1: 135 Crossways Park Drive Suite 404, Woodbury, NY 11797

CRD#: 144131

Woodbury, NY

Past

June 30, 2020 - December 17, 2021

PICKWICK CAPITAL PARTNERS, LLC

CRD#: 130672

WHITE PLAINS, NY

Past

May 18, 2015 - February 4, 2020

MIZUHO SECURITIES USA LLC

CRD#: 19647

NEW YORK, NY

Past

March 3, 2008 - June 3, 2015

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

December 8, 1997 - November 6, 2007

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

Past

March 12, 1997 - December 9, 1997

SALOMON BROTHERS INC.

CRD#: 740

NEW YORK, NY

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".

PLATFORM TECHNOLOGY PARTNERS

NORTHEAST PRIVATE WEALTH MANAGEMENT | PLATFORM TECHNOLOGY PARTNERS LLC | PLATFORM TECHNOLOGY PARTNERS

CRD#: 305602 / SEC#: 801-117439

RIA

Registered Investment Advisory firm - (10/7/2019 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.

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

California
(1/3/2022)

Connecticut
(1/3/2022)

Florida
(1/3/2022)

Illinois
(1/3/2022)

Massachusetts
(1/3/2022)

Missouri
(1/3/2022)

New Jersey
(1/3/2022)

New York
(1/3/2022)

IAR

New York
(1/13/2022)

Pennsylvania
(1/3/2022)

Texas
(1/3/2022)

Virginia
(1/3/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/13/2022

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/16/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 4/10/2001

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 25

Date: 9/22/1999

NYSE Trading Assistant Examination

General Industry/Product Exam

Series 7

Date: 3/10/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/8/2003

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

PLATFORM TECHNOLOGY PARTNERS

NORTHEAST PRIVATE WEALTH MANAGEMENT | PLATFORM TECHNOLOGY PARTNERS LLC | PLATFORM TECHNOLOGY PARTNERS

CRD#: 305602 / SEC#: 801-117439

RIA

Registered Investment Advisory firm - (10/7/2019 Approved)

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Contact information

Main Address

475 Fifth Ave Suite 1501, New York, NY 10017

Mailing Address

Phone number

(212) 444-2362

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PLATFORM TECHNOLOGY PARTNERS FIRM BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	1,939
AUM (Assets Under Management)	$ 1,090,849,298

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.

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Firm Stability Insights

Patrick K. Moran

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Patrick Kirley Moran's CRS (Customer Relationship Summary).

Certified licenses

Experience

SPIRE SECURITIES, LLC

PICKWICK CAPITAL PARTNERS, LLC

MIZUHO SECURITIES USA LLC

CREDIT SUISSE SECURITIES (USA) LLC

MORGAN STANLEY & CO. LLC

SALOMON BROTHERS INC.

Primary Firm SEC Registration

PLATFORM TECHNOLOGY PARTNERS

State Registrations and Notice Filings

Exams

Series 65

Date: 1/13/2022

Series 63

Date: 9/16/1997

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 4/10/2001

Series 25

Date: 9/22/1999

Series 7

Date: 3/10/1997

Series 24

Date: 10/8/2003

FINRA

Current Firm

PLATFORM TECHNOLOGY PARTNERS

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PLATFORM TECHNOLOGY PARTNERS

TRUST BUT VERIFY

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