Douglas W. Moran
Professional summary
Douglas Wayne Moran is a registered financial advisor currently at DM FINANCIAL GROUP located in Shreveport, Louisiana.
Douglas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Douglas has worked at 4 firms and has passed the Series 65, Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Douglas Wayne Moran's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 28, 2019 - Present
DM FINANCIAL GROUP
June 1, 2017 - February 28, 2019
EDWARD JONES
April 7, 2017 - February 28, 2019
EDWARD JONES
December 20, 2011 - January 17, 2017
SCOTTRADE, INC.
August 4, 2011 - December 5, 2011
MORGAN STANLEY
July 7, 2011 - December 5, 2011
MORGAN STANLEY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(10/28/2019)
Exams
Current Firm
DM FINANCIAL GROUP
CRD#: 304395 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 6 |
| AUM (Assets Under Management) | $ 199,166 |
Red Flags
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