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KM

Kristen L. Moran

SIGNATURE ESTATE SECURITIES
Cleveland, OH 44124
Some features on this profile are disabled
CRD#: 2864127
KM

Professional summary

Kristen Leigh Moran, CFP®, who also goes by Kristen Leigh Duale, Kristen Leigh Moran, is a registered financial professional currently at SIGNATURE ESTATE SECURITIES, LLC located in Cleveland, Ohio.

Kristen is registered as a RR (Registered Representative) and started their career in finance in 1997. Kristen has worked at 6 firms and has passed the SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kristen Leigh Duale | Kristen Leigh 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 Kristen Leigh 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®
CFP®

Certified Financial Planner

Experience

Current

June 25, 2024 - Present

SIGNATURE ESTATE SECURITIES, LLC

Office #1: 5885 Landerbrook Dr., Suite 200, Cleveland, OH 44124
BD
CRD#: 18923
Cleveland, OH
Past

April 7, 2021 - June 17, 2024

CADARET, GRANT & CO., INC.

BD
CRD#: 10641
Cleveland, OH
Past

March 2, 2018 - September 2, 2021

CEDAR BROOK GROUP

RIA
CRD#: 290670
CLEVELAND, OH
Past

August 8, 2005 - April 13, 2021

SECURITIES AMERICA, INC.

BD
CRD#: 10205
MAYFIELD HEIGHTS, OH
Past

April 7, 1997 - July 22, 2005

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

BD
CRD#: 2580
FORT WAYNE, IN
Past

April 7, 1997 - July 22, 2005

OSAIC FA, INC.

BD
CRD#: 3978
FORT WAYNE, IN

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/3/1997
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

SE
SIGNATURE ESTATE SECURITIES, LLC
SIGNATURE ESTATE SECURITIES, INC. | TRANSAM SECURITIES, INC. | SIGNATURE ESTATE SECURITIES, LLC

CRD#: 18923 / SEC#: , 8-37065

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

Main Address
2121 Avenue Of Stars Suite 1600, Los Angeles, CA 90067
Mailing Address
2121 Avenue Of Stars Suite 1600, Los Angeles, CA 90067
Phone number
(310) 712-2323
Established
Delaware since 02/14/2024
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (52 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#
SEIA HOLDINGS LLC100% DIRECT OWNER SIGNATURE ESTATE SECURITIES LLC
MATRISIAN, MATTHEW JAMESPRESIDENT2507829
ROSEN, ERIC ZACHARYCHIEF COMPLIANCE OFFICER6181478
RUSSELL, SARAH DETLINGFINOP6727189

Disclosures

Regulatory Event2

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

SIGNATURE ESTATE SECURITIES, LLC

CRD#: 18923Cleveland, OH 44124

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