Eamon H. 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.
Eamon Hugh Moran, who also goes by Eamon Hugh Moran, Eamon Moran, was a registered financial professional .
Eamon is a previously registered financial professional and started their career in finance in 2000. Eamon had worked at 5 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 5, 2021 - January 6, 2026
ROUND ROCK ADVISORS LLC
June 13, 2019 - November 3, 2020
WELLS FARGO CLEARING SERVICES, LLC
May 7, 2019 - November 3, 2020
WELLS FARGO CLEARING SERVICES, LLC
November 30, 2010 - May 9, 2013
ONE AMHERST PARTNERS, LLC
March 7, 2006 - January 20, 2009
P & M CORPORATE FINANCE, LLC
July 11, 2000 - August 1, 2002
PIPER SANDLER & CO.
Primary Firm SEC Registration
ROUND ROCK ADVISORS LLC
CRD#: 286007 / SEC#: 801-108989
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 7TO
Date: 3/27/2024
General Securities Representative ExaminationCurrent Firm
ROUND ROCK ADVISORS LLC
CRD#: 286007 / SEC#: 801-108989
Contact information
SEC notice filing (17 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,126 |
| AUM (Assets Under Management) | $ 814,558,622 |
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.
