Richard A. Simpson

MORAN WEALTH MANAGEMENT

Naples, FL 34108

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CRD#: 4999321

Professional summary

Richard A Simpson, CFP®, ChFC®, CLU®, who also goes by Aaron Simpson, is a registered financial advisor currently at MORAN WEALTH MANAGEMENT, LLC located in Naples, Florida.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Richard has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Aaron Simpson

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) - RIA

Click below to view Richard A Simpson'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®

CFP^®

Certified Financial Planner

Start date: 2015

ChFC^®

Chartered Financial Consultant

CLU^®

Chartered Life Underwriter

Experience

Current

May 31, 2022 - Present

MORAN WEALTH MANAGEMENT, LLC

Office #1: 5801 Pelican Bay Blvd, Suite 110, Naples, FL 34108

RIA

CRD#: 319208

Naples, FL

Past

March 31, 2021 - June 24, 2022

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA

CRD#: 11025

NAPLES, FL

Past

March 30, 2021 - June 24, 2022

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

NAPLES, FL

Past

February 26, 2018 - March 17, 2021

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

NAPLES, FL

Past

November 29, 2017 - March 17, 2021

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

ST. CLOUD, MN

Past

October 22, 2015 - November 8, 2017

BB&T INVESTMENT SERVICES, INC.

RIA

CRD#: 33856

NAPLES, FL

Past

October 19, 2015 - November 8, 2017

BB&T INVESTMENT SERVICES, INC.

CRD#: 33856

NAPLES, FL

Past

January 30, 2013 - October 20, 2015

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

ESTERO, FL

Past

October 5, 2005 - October 20, 2015

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

ESTERO, FL

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".

MORAN WEALTH MANAGEMENT, LLC

MORAN WEALTH MANAGEMENT, LLC | SEAGATE CAPITAL MANAGEMENT | PELICAN BAY CAPITAL MANAGEMENT

CRD#: 319208 / SEC#: 801-123682

RIA

Registered Investment Advisory firm - (4/15/2022 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.

Highlighted states indicate IAR registrations

IAR

Florida
(6/14/2022)

IAR

Texas
(5/31/2022)

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: 1/25/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/24/2012

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/20/2015

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/4/2005

Investment Company Products/Variable Contracts Representative Examination

Current Firm

MORAN WEALTH MANAGEMENT, LLC

MORAN WEALTH MANAGEMENT, LLC | SEAGATE CAPITAL MANAGEMENT | PELICAN BAY CAPITAL MANAGEMENT

CRD#: 319208 / SEC#: 801-123682

RIA

Registered Investment Advisory firm - (4/15/2022 Approved)

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Contact information

Main Address

5801 Pelican Bay Blvd, Suite 110, Naples, FL 34108

Mailing Address

Phone number

(239) 920-4440

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (33 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE FOR MORAN WEALTH MANAGEMENT, LLC (10/22/2025)

Regulatory assets under management

Total Number of Accounts	12,102
AUM (Assets Under Management)	$ 5,093,086,147

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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Advisor Monitoring

Firm Stability Insights

Richard A. Simpson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard A Simpson's CRS (Customer Relationship Summary).

Certified licenses

Experience

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CETERA INVESTMENT ADVISERS LLC

CETERA INVESTMENT SERVICES LLC

BB&T INVESTMENT SERVICES, INC.

BB&T INVESTMENT SERVICES, INC.

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

MORAN WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/25/2013

Series 63

Date: 10/24/2012

SIE

Date: 10/1/2018

Series 7

Date: 10/20/2015

Series 6

Date: 10/4/2005

Current Firm

MORAN WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (33 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MORAN WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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