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GM

Gerald R. Moran

OAKWOOD CAPITAL SECURITIES
Minneapolis, MN 55416
Some features on this profile are disabled
CRD#: 2747941
GM
Gerald Ray MoranOAKWOOD CAPITAL SECURITIES

Professional summary

Gerald Ray Moran, who also goes by Jerry Ray Moran, is a registered financial professional currently at OAKWOOD CAPITAL SECURITIES, INC. located in Minneapolis, Minnesota.

Gerald is registered as a RR (Registered Representative) and started their career in finance in 1996. Gerald has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.

Aliases

Jerry Ray 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.
(1) Minority owner (less than 5%) of MBG Acquisitions, LLC (MBG). MBG is a Brokerage General Agency (insurance - life, disability, long-term care). I spend no time on MBG business, I am not involved in any business operations of MBG in any way. I receive renewal commissions on past individual sales production only, no other income or distributions are received. I am currently working with my legal representation and seeking a redemption agreement with MBG. (2) NAME OF ENTITY: United FC Rush Soccer Club ADDRESS: 5964 Main Ave NE PO Box 211 Albertville MN 55301 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Foundation/Charitable Institution START DATE: 30/08/2025 CAPACITY: Other DUTIES: Head Coach - coaching U12 boys team. HOURS DEVOTED PER MONTH: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Gerald Ray 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 4, 2026 - Present

OAKWOOD CAPITAL SECURITIES, INC.

Office #1: 5501 Excelsior Blvd, Minneapolis, MN 55416
BD
CRD#: 21000
Minneapolis, MN
Past

September 23, 2019 - May 14, 2026

RBC CAPITAL MARKETS, LLC

RIA
CRD#: 31194
MINNEAPOLIS, MN
Past

September 23, 2019 - May 14, 2026

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
MINNEAPOLIS, MN
Past

August 23, 2018 - September 9, 2019

U.S. BANCORP INVESTMENTS, INC.

RIA
CRD#: 17868
MINNEAPOLIS, MN
Past

August 22, 2018 - September 9, 2019

U.S. BANCORP INVESTMENTS, INC.

BD
CRD#: 17868
MINNEAPOLIS, MN
Past

January 2, 2014 - March 15, 2018

THE LEADERS GROUP, INC.

BD
CRD#: 37157
SUMMIT, NJ
Past

May 6, 2008 - December 31, 2013

VOYA FINANCIAL ADVISORS, INC.

BD
CRD#: 2882
MINNETONKA, MN
Past

June 4, 2003 - May 11, 2006

PACIFIC SELECT DISTRIBUTORS, LLC

BD
CRD#: 4452
NEWPORT BEACH, CA
Past

March 14, 2003 - June 5, 2003

TOWER SQUARE SECURITIES, INC.

BD
CRD#: 833
EL SEGUNDO, CA
Past

August 8, 1996 - April 15, 2002

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ

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
Minnesota
(8/4/2026)
RR
Wisconsin
(8/4/2026)

Exams

State Security Law Exam
IAR
Series 65
Date: 1/30/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/27/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 8/7/1996
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 7/13/2012
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

OC
OAKWOOD CAPITAL SECURITIES, INC.
GARDNER FINANCIAL SERVICES, INC. | OAKWOOD CAPITAL SECURITIES, INC.

CRD#: 21000 / SEC#: , 8-38631

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

Main Address
600 Highway 169 South Suite 1410, St. Louis Park, MN 55426
Mailing Address
600 Highway 169 South Suite 1410, St. Louis Park, MN 55426
Phone number
(952) 935-4601
Established
Minnesota since 05/11/1987
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (49 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
OAKWOOD CAPITAL SECURITIES, LLCOWNER
BASKETT, ERINFINOP, PFO, POO4538604
KING, BRANDON DOUGLASVICE PRESIDENT6371003
KING, DOUGLAS STEPHANPRESIDENT, CHIEF COMPLIANCE OFFICER1375683
KING, JASON THOMASVICE PRESIDENT6343030

Disclosures

Regulatory Event1
Bond1

Red Flags

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Company Information

OAKWOOD CAPITAL SECURITIES, INC.

CRD#: 21000Minneapolis, MN 55416

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