John P. Moran

EXCEL FINANCIAL

Littleton, CO

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CRD#: 4612900

Professional summary

John Patrick Moran is a registered financial advisor currently at EXCEL FINANCIAL, LLC located in Littleton, Colorado.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. John has worked at 2 firms and has passed the Series 65, Series 63 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.

GREENWAY FOUNDATION~'NIR'~OTHER~DIRECTOR/OFFICER~12/2004~0HRS~0HRS~NON-PROFIT~~JOHN MORAN, CPA~'NIR'~TAX PREPARATION/ACCOUNTING~OWNER/SOLE PROPRIETER~12/2002~0HRS~0HRS~ Moran and Long, LLC; Greenwood Village, CO; not investment related; Partner of CPA firm since 01/2009; 152 hrs/mo

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Patrick 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

June 14, 2012 - Present

EXCEL FINANCIAL, LLC

RIA

CRD#: 145301

Littleton, CO

Past

April 27, 2010 - February 29, 2012

EXCEL FINANCIAL, LLC

RIA

CRD#: 145301

RED WING, MN

Past

February 19, 2003 - December 31, 2009

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

LITTLETON, CO

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".

EXCEL FINANCIAL, LLC

BCD FINANCIAL | EXCEL FINANCIAL, LLC

CRD#: 145301 / SEC#: 801-107211

RIA

Registered Investment Advisory firm - (1/28/2016 Approved)

Colorado

Registered Investment Advisory firm - (2/2/2016 Terminated)

Minnesota

Registered Investment Advisory firm - (1/29/2016 Terminated)

Wisconsin

Registered Investment Advisory firm - (1/29/2016 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Colorado
(6/14/2012)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/26/2010

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/23/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 2/18/2003

Investment Company Products/Variable Contracts Representative Examination

Current Firm

EXCEL FINANCIAL, LLC

BCD FINANCIAL | EXCEL FINANCIAL, LLC

CRD#: 145301 / SEC#: 801-107211

RIA

Registered Investment Advisory firm - (1/28/2016 Approved)

Colorado

Registered Investment Advisory firm - (2/2/2016 Terminated)

Minnesota

Registered Investment Advisory firm - (1/29/2016 Terminated)

Wisconsin

Registered Investment Advisory firm - (1/29/2016 Terminated)

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Contact information

Main Address

321 Main Street, Red Wing, MN 55066

Mailing Address

Phone number

(651) 388-6441

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (3/6/2025)

Regulatory assets under management

Total Number of Accounts	1,093
AUM (Assets Under Management)	$ 333,483,495

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.

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John P. Moran

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Patrick Moran's CRS (Customer Relationship Summary).

Certified licenses

Experience

EXCEL FINANCIAL, LLC

EXCEL FINANCIAL, LLC

AVANTAX INVESTMENT SERVICES, INC.

Primary Firm SEC Registration

EXCEL FINANCIAL, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/26/2010

Series 63

Date: 12/23/2002

Series 6

Date: 2/18/2003

Current Firm

EXCEL FINANCIAL, LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

EXCEL FINANCIAL, LLC

TRUST BUT VERIFY

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