TM
Thomas W. Moran
INDEPENDENCE CAPITAL CO.
Brunswick, OH
Some features on this profile are disabled
CRD#: 5861214
TM
Professional summary
Thomas William Moran is a registered financial advisor currently at INDEPENDENCE CAPITAL CO., INC. located in Brunswick, Ohio.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Thomas has worked at 4 firms and has passed the Series 65, Series 63, Series 7TO, SIE 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.
Realtor, Real Estate Sales, 21400 Briar Bush Lane Strongsville OH 44149, Start 07/01/2005, 5 hrs/month, Compensation: Commission. Owner (Innovatus Group Benefit LLC), Group Benefit Sales, 1005 Lonetree Ct Brunswick OH 44121, Start 2017, 40 hrs/month, Compensation: Commission. Owner (Innovatus Financial, LLC), Insurance Sales, 1005 Lonetree Ct Brunswick OH 44121, Start 2017, 40 hrs/month, Compensation: Commission. Owner/President (Tom Moran and Associates, Inc.), Fixed life, annuity, health, disability, long term care insurances. 1005 Lonetree Ct Brunswick OH 44121, Start 2017, 40 hrs/month, Compensation: Commission. Agent - ERC Specialist, Sign up employers for employee retention credits, 1005 Lonetree Ct Brunswick OH 44121, Start 2022, 1 hr/month, Compensation: Commission
CRS (Client Relationship Summary) - RIA
Click below to view Thomas William Moran's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Thomas William 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®
NoneExperience
Current
December 20, 2019 - Present
INDEPENDENCE CAPITAL CO., INC.
RIA
BD
CRD#: 24723
Brunswick, OH
Current
December 16, 2019 - Present
INDEPENDENCE CAPITAL CO., INC.
Office #1: 5579 Pearl Road, Ste 100, Parma, OH 44129Office #2: 5579 Pearl Road, Suite 100, Parma, OH 44129RIA
BD
CRD#: 24723
Parma, OH
Past
February 24, 2016 - December 19, 2019
ONEAMERICA SECURITIES, INC.
RIA
CRD#: 4173
Akron, OH
Past
October 1, 2014 - December 19, 2019
ONEAMERICA SECURITIES, INC.
BD
CRD#: 4173
Akron, OH
Past
January 18, 2012 - October 2, 2014
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
AKRON, OH
Past
March 7, 2011 - January 25, 2012
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
MAYFIELD HEIGHTS, OH
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
Florida(12/16/2019)
IAR
Florida(1/2/2020)
RR
Iowa(8/28/2025)
RR
Ohio(12/16/2019)
IAR
Ohio(12/20/2019)
RR
Pennsylvania(3/18/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/22/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
IC
INDEPENDENCE CAPITAL CO., INC.
INDEPENDENCE CAPITAL CO., INC.
CRD#: 24723 / SEC#: , 8-41331
Arizona
Registered Investment Advisory firm - SEC (10/26/2015 Approved)Florida
Registered Investment Advisory firm - SEC (1/2/2009 Approved)Indiana
Registered Investment Advisory firm - SEC (4/2/2013 Approved)Michigan
Registered Investment Advisory firm - SEC (1/5/2011 Approved)Ohio
Registered Investment Advisory firm - SEC (8/9/1999 Approved)Pennsylvania
Registered Investment Advisory firm - SEC (1/3/2011 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
5579 Pearl Road, Suite 100, Parma, OH 44129
Mailing Address
5579 Pearl Road, Suite 100, Parma, OH 44129
Phone number
(440) 888-7000
Established
Ohio since 04/29/1989
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
41
FINRA licenses (38 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 295 |
| AUM (Assets Under Management) | $ 99,922,105 |
Disclosures
| Regulatory Event | 3 |
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.
