DM
Daniel F. Moran
FLAGSHIP HARBOR ADVISORS
BOSTON, MA 02109
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CRD#: 4602692
DM
Professional summary
Daniel Francis Moran, CFP® is a registered financial advisor currently at FLAGSHIP HARBOR ADVISORS, LLC located in Boston, Massachusetts and LPL FINANCIAL LLC located in Boston, Massachusetts.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Daniel has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
(1) 11/15/2013: Flagship Harbor Advisors - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - 100% Time Spent
(2) 11/15/2013: Pinnacle - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - 5% Time Spent - sales of insurance and annuities: Life, Disability, LTC, Fixed Annuities
(3) 11/18/2013: Flagship Harbor Advisors LLC - Registered Investment Advisor - DBA: (Hybrid) Flagship Harbor Advisors LLC - Investment Related - At Reported Business Location(s) - 80% Time Spent - I provide investment advisory services through Flagship Harbor Advisors, an independent investment advisor firm. I started this business activity in November, 2013. I expect to spend approximately 80% of the time spent per month on this activity. Please see the advisory firm�s Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Francis 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®
CFP®
Start date: 2010
Experience
Current
November 18, 2013 - Present
FLAGSHIP HARBOR ADVISORS, LLC
Office #1: 346 Commercial Street, Boston, MA 02109RIA
CRD#: 155733
BOSTON, MA
Current
November 15, 2013 - Present
LPL FINANCIAL LLC
Office #1: 346 Commercial St, Boston, MA 02109RIA
BD
CRD#: 6413
BOSTON, MA
Past
May 18, 2010 - November 25, 2013
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
BOSTON, MA
Past
October 16, 2007 - November 25, 2013
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
BOSTON, MA
Past
November 7, 2002 - August 27, 2007
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
WALTHAM, MA
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".
FH
FLAGSHIP HARBOR ADVISORS, LLC
3MERITUS WEALTH MANAGEMENT | TRESTLEBRIDGE CAPITAL | TINKHAM WEALTH MANAGEMENT | THRIVE WEALTH STRATEGIES | THORNE FINANCIAL PARTNERS | SHEVLIN WEALTH MANAGEMENT | SHEPARD FINANCIAL | SEASHORE FINANCIAL | SCHRUMM FINANCIAL | RISING TIDE CAPITAL | PARKER WEALTH MANAGEMENT | PARADIGM PRIVATE WEALTH | NORTHERN PEAK WEALTH MANAGEMENT | NORTHERN PEAK FINANCIAL | MUNROE MORROW WEALTH MANAGEMENT | MIRICA WEALTH | MCGUIGAN FINANCIAL | MAITLAND FINANCIAL GROUP | LAURENZ FINANCIAL | KEFAUVER FINANCIAL PLANNING & WEALTH MANAGEMENT | KARRIS & CO. | INTEGRITAS FINANCIAL ADVISORS | GOLDSON FINANCIAL | FLAGSHIP HARBOR ADVISORS, LLC | FIELDSTONE WEALTH MANAGEMENT | FENTON FINANCIAL GROUP | CURRENCY CAMP | CONCIERGE WEALTH MANAGEMENT | CHARTHOUSE CAPITAL | BRANDT WEALTH ADVISORS | BERRY MANAGEMENT, LLC | BERGSTRESSER FINANCIAL | AVERY WEALTH MANAGEMENT | ATLAS PRIVATE WEALTH ADVISORS | ARC FINANCIAL | ANDREASEN FINANCIAL
CRD#: 155733 / SEC#: 801-71997
RIA
Registered Investment Advisory firm - (12/8/2010 Approved)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
Arizona(11/15/2013)
RR
District of Columbia(10/31/2016)
RR
Florida(8/30/2018)
RR
Georgia(4/6/2020)
RR
Massachusetts(11/15/2013)
IAR
Massachusetts(11/18/2013)
RR
New Hampshire(11/15/2013)
RR
New Jersey(11/15/2013)
RR
New York(11/15/2013)
RR
North Carolina(2/2/2016)
RR
Pennsylvania(7/17/2020)
RR
Rhode Island(11/15/2013)
RR
Tennessee(1/18/2019)
IAR
Texas(9/9/2019)
RR
Texas(9/11/2019)
RR
Virginia(11/15/2013)
RR
Washington(11/15/2013)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FH
FLAGSHIP HARBOR ADVISORS, LLC
3MERITUS WEALTH MANAGEMENT | TRESTLEBRIDGE CAPITAL | TINKHAM WEALTH MANAGEMENT | THRIVE WEALTH STRATEGIES | THORNE FINANCIAL PARTNERS | SHEVLIN WEALTH MANAGEMENT | SHEPARD FINANCIAL | SEASHORE FINANCIAL | SCHRUMM FINANCIAL | RISING TIDE CAPITAL | PARKER WEALTH MANAGEMENT | PARADIGM PRIVATE WEALTH | NORTHERN PEAK WEALTH MANAGEMENT | NORTHERN PEAK FINANCIAL | MUNROE MORROW WEALTH MANAGEMENT | MIRICA WEALTH | MCGUIGAN FINANCIAL | MAITLAND FINANCIAL GROUP | LAURENZ FINANCIAL | KEFAUVER FINANCIAL PLANNING & WEALTH MANAGEMENT | KARRIS & CO. | INTEGRITAS FINANCIAL ADVISORS | GOLDSON FINANCIAL | FLAGSHIP HARBOR ADVISORS, LLC | FIELDSTONE WEALTH MANAGEMENT | FENTON FINANCIAL GROUP | CURRENCY CAMP | CONCIERGE WEALTH MANAGEMENT | CHARTHOUSE CAPITAL | BRANDT WEALTH ADVISORS | BERRY MANAGEMENT, LLC | BERGSTRESSER FINANCIAL | AVERY WEALTH MANAGEMENT | ATLAS PRIVATE WEALTH ADVISORS | ARC FINANCIAL | ANDREASEN FINANCIAL
CRD#: 155733 / SEC#: 801-71997
RIA
Registered Investment Advisory firm - (12/8/2010 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
346 Commercial Street, Boston, MA 02109
Mailing Address
Phone number
(857) 350-4229
Established
Firm type
Fiscal year end
# of Employees
60
SEC notice filing (37 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 13,382 |
| AUM (Assets Under Management) | $ 3,008,478,711 |
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
FLAGSHIP HARBOR ADVISORS, LLC
CRD#: 155733Boston, MA 02109TRUST BUT VERIFY
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