John J. Moran
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
John Joseph Moran JR, who also goes by Jack Moran Jr, Jack Moran, John Jr Joseph Moran, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1972. John had worked at 11 firms and has passed the Series 63, SIE, Series 5, Series 000 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 25, 2016 - June 6, 2018
BREAN CAPITAL, LLC
June 29, 2012 - February 16, 2016
HILLTOP SECURITIES INC.
October 7, 2003 - April 4, 2012
RAYMOND JAMES & ASSOCIATES, INC.
January 15, 2002 - October 21, 2003
MESIROW FINANCIAL, INC.
September 7, 2000 - January 30, 2002
ADVEST, INC.
January 31, 1995 - April 5, 2000
ABN AMRO INCORPORATED
February 9, 1993 - January 6, 1995
FINANCIAL SQUARE PARTNERS
October 18, 1984 - November 4, 1992
PERSHING LLC
October 22, 1980 - October 29, 1984
BECKER PARIBAS INCORPORATED
January 15, 1975 - October 26, 1980
STUART BROTHERS
December 21, 1972 - November 10, 1974
L. F. ROTHSCHILD & CO. INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 5
Date: 9/30/1982
Interest Rate Options ExaminationSeries 000
Date: 12/18/1972
General Securities Principal ExaminationSeries 1
Date: 12/18/1972
Registered Representative ExaminationCurrent Firm
BREAN CAPITAL, LLC
CRD#: 23723 / SEC#: , 8-40742
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BMUR HOLDINGS, LLC | HOLDING COMPANY | |
| HUNT FS HOLDINGS III, LLC | HOLDING COMPANY | |
| ALLURED LLC | HOLDING COMPANY | |
| LIZINATOR LLC | HOLDING COMPANY | |
| BREAN CAPITAL HOLDINGS, LLC | HOLDING COMPANY | |
| CORWEN, STEPHEN MILLER | HEAD OF MBS/ABS SALES | 2943061 |
| FINE, ROBERT MICHAEL | CHIEF EXECUTIVE OFFICER | 1450313 |
| GUZMAN, JEFFREY M | CHIEF COMPLIANCE OFFICER | 3095123 |
| LAMARSH, JONATHAN ANDREW | PRINCIPAL OPERATIONS OFFICER | 5436335 |
| MACKLIN, JOHN TIMOTHY | PRINCIPAL OPERATIONS OFFICER | 1446800 |
| SARABELLA, ARNOLD | CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | 1717059 |
| TIRSCHWELL, ROBERT MOYSE | EXECUTIVE MANAGING DIRECTOR | 2230453 |
Disclosures
| Regulatory Event | 12 |
Red Flags
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