GM
Gerald R. Moran
RBC CAPITAL MARKETS
Monticello, MN
Some features on this profile are disabled
CRD#: 2747941
GM
Professional summary
Gerald Ray Moran, who also goes by Jerry Ray Moran, is a registered financial advisor currently at RBC CAPITAL MARKETS, LLC located in Monticello, Minnesota.
Gerald is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Gerald has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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
CRS (Client Relationship Summary) - RIA
Click below to view Gerald Ray Moran's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Gerald Ray Moran's 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®
NoneExperience
Current
September 23, 2019 - Present
RBC CAPITAL MARKETS, LLC
Office #2: 250 Nicollet Mall Suite 2000 16th Floor, Minneapolis, MN, 55401-1931RIA
BD
CRD#: 31194
Monticello, MN
Current
September 23, 2019 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 250 Nicollet Mall Suite 2000 16th Floor, Minneapolis, MN, 55401-1931RIA
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
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".
RC
RBC CAPITAL MARKETS, LLC
DAIN RAUSCHER INC | REGIONAL OPERATIONS GROUP, INC. | RBC WEALTH MANAGEMENT | RBC DAIN RAUSCHER INC. | RBC DAIN RAUSCHER | RBC CORRESPONDENT SERVICES | RBC CLEARING AND CUSTODY | RBC CAPITAL MARKETS, LLC | RBC CAPITAL MARKETS CORPORATION | RBC ADVISOR SERVICES | INTERRA CLEARING SERVICES, INC. | DAIN RAUSCHER INCORPORATED
CRD#: 31194 / SEC#: 801-13059, 8-45411
RIA
Registered Investment Advisory firm - SEC (6/2/1977 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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.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(9/26/2019)
RR
Illinois(9/26/2019)
RR
Indiana(9/26/2019)
RR
Iowa(9/26/2019)
RR
Kansas(9/26/2019)
RR
Michigan(9/26/2019)
RR
Minnesota(9/23/2019)
IAR
Minnesota(9/23/2019)
RR
Missouri(9/26/2019)
RR
Nebraska(9/26/2019)
RR
Nevada(9/26/2019)
RR
New York(9/26/2019)
RR
North Dakota(9/26/2019)
RR
Ohio(9/26/2019)
RR
Pennsylvania(9/26/2019)
RR
South Dakota(9/26/2019)
RR
Tennessee(9/26/2019)
RR
West Virginia(9/26/2019)
RR
Wisconsin(9/26/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
RC
RBC CAPITAL MARKETS, LLC
DAIN RAUSCHER INC | REGIONAL OPERATIONS GROUP, INC. | RBC WEALTH MANAGEMENT | RBC DAIN RAUSCHER INC. | RBC DAIN RAUSCHER | RBC CORRESPONDENT SERVICES | RBC CLEARING AND CUSTODY | RBC CAPITAL MARKETS, LLC | RBC CAPITAL MARKETS CORPORATION | RBC ADVISOR SERVICES | INTERRA CLEARING SERVICES, INC. | DAIN RAUSCHER INCORPORATED
CRD#: 31194 / SEC#: 801-13059, 8-45411
RIA
Registered Investment Advisory firm - SEC (6/2/1977 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
200 Vesey St., New York, NY 10281
Mailing Address
250 Nicollet Mall Suite 1600, Minneapolis, MN 55401
Phone number
(612) 371-2811
Established
Minnesota since 11/01/2010
Firm type
Limited Liability Company
Fiscal year end
October
Firm Size
Large
# of Employees
8,476
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RBC USA HOLDCO CORPORATION | DIRECT OWNER | |
| CARLESIMO, PAUL ADAM | CHIEF COMPLIANCE OFFICER, RBC CAPITAL MARKETS - U.S. | 4718504 |
| ESPENAK, KRISTEN ELIZABETH | CHIEF RISK OFFICER, USA | 5570750 |
| GIEGERICH, ROBERT ARTHUR | PRINCIPAL FINANCIAL OFFICER | 5736294 |
| GLASSMAN, DORJE TSERING | CO-HEAD OF U.S. CAPITAL MARKETS LAW GROUP | 6568226 |
| LISCHIN, MATTHEW CODY | CO-HEAD OF U.S. CAPITAL MARKETS LAW GROUP | 4974723 |
| O'CONNOR, SEAN WALTER | CHIEF COMPLIANCE OFFICER, RBC WEALTH MANAGEMENT - U.S. | 6578918 |
| PENN, JOHN CHRISTOPHER | GENERAL COUNSEL | 5135403 |
| SAGISSOR, THOMAS STEVEN | PRESIDENT OF RBC WEALTH MANAGEMENT | 2429425 |
| SCHREINER, CINDY LOUISE | US WEALTH MANAGEMENT PRINCIPAL OPERATIONS OFFICER | 1470050 |
| SPERDUTO, VITO ANTONIO | DIRECTOR, CEO OF U.S. CAPITAL MARKETS & CHAIRMAN OF THE BOARD | 2524961 |
| THORNE, BRETT LANE | PRESIDENT, RBC CLEARING & CUSTODY | 2523268 |
| THURLOW, JOHN J | CHIEF OPERATING OFFICER | 5726613 |
Regulatory assets under management
| Total Number of Accounts | 477,674 |
| AUM (Assets Under Management) | $ 259,962,335,074 |
Disclosures
| Regulatory Event | 364 |
| Civil Event | 3 |
| Arbitration | 114 |
| Bond | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 08/27/2024 | ||
| 09/14/2023 |
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.
