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MM

Matt A. Moran

NATALLIANCE SECURITIES
Austin, TX 78746
Some features on this profile are disabled
CRD#: 3024410
MM

Professional summary

Matt Allen Moran is a registered financial professional currently at NATALLIANCE SECURITIES, LLC located in Austin, Texas.

Matt is registered as a RR (Registered Representative) and started their career in finance in 1998. Matt has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Matt Allen 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

May 24, 2016 - Present

NATALLIANCE SECURITIES, LLC

Office #1: 3101 Bee Cave Rd Suite 270, Austin, TX 78746
BD
CRD#: 39455
Austin, TX
Past

August 5, 2014 - August 27, 2014

CAPITAL GUARDIAN, LLC

BD
CRD#: 137919
austin, TX
Past

July 24, 2014 - May 31, 2016

CLEARVIEW TRADING ADVISORS, INC.

BD
CRD#: 142873
Austin, TX
Past

November 17, 1998 - July 18, 2014

TEJAS SECURITIES GROUP, INC.

BD
CRD#: 36705
AUSTIN, TX
Past

May 6, 1998 - October 27, 1998

TEJAS SECURITIES GROUP, INC.

BD
CRD#: 36705

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
(5/24/2016)
RR
Florida
(5/24/2016)
RR
Georgia
(12/8/2021)
RR
Idaho
(1/14/2025)
RR
Illinois
(1/9/2019)
RR
Indiana
(5/24/2016)
RR
Kentucky
(3/1/2024)
RR
Louisiana
(8/11/2025)
RR
Missouri
(8/1/2016)
RR
New Jersey
(2/3/2018)
RR
New York
(5/24/2016)
RR
Ohio
(1/10/2022)
RR
Texas
(5/24/2016)
RR
Virginia
(6/11/2020)
RR
West Virginia
(5/3/2024)
RR
Wisconsin
(6/11/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 5/12/1998
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 7
Date: 5/5/1998
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

NS
NATALLIANCE SECURITIES, LLC
NATALLIANCE INVESTMENT BANKING | SINEX SECURITIES, LLC. | NATIONAL ALLIANCE SECURITIES, LLC | NATIONAL ALLIANCE SECURITIES CORPORATION | NATIONAL ALLIANCE CAPITAL, LLC | NATALLIANCE SECURITIES, LLC | NATALLIANCE SECURITIES

CRD#: 39455 / SEC#: , 8-48723

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

Main Address
3101 Bee Cave Rd Suite 800, Austin, TX 78701
Mailing Address
3101 Bee Cave Rd Suite 270, Austin, TX 78746
Phone number
(512) 609-1700
Established
Delaware since 12/31/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (46 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
NATALLIANCE HOLDING COMPANY LLCOWNER
ADAMS, JASONBOARD MEMBER2690575
BRENNER, ANDREW SCOTTBOARD MEMBER1227535
BUSH, FRED COSTONCFO/COO3075024
CARREON, MICHELLE ELLISCCO4861485
GIORDANO, MICHAEL JAMESBOARD MEMBER5942248
HENDRICKSON, GEORGE ALEXANDER BROWNBOARD MEMBER2382347
LIEPMAN, JOHN FRANCISBOARD MEMBER2037298
LOERCH, SAMUEL JAMESBOARD MEMBER1195328
SALTER, MARK MYLESBOARD MEMBER/CEO/PRESIDENT1180139
TAYLOR, BRADFORD STEPHENBOARD MEMBER5751455

Disclosures

Regulatory Event8

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

NATALLIANCE SECURITIES, LLC

CRD#: 39455Austin, TX 78746

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