MM
Michael J. Moran
MORGAN STANLEY INVESTMENT MANAGEMENT
New York, NY
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CRD#: 6228450
MM
Professional summary
Michael James Moran, who also goes by Mick Moran, is a registered financial advisor currently at MORGAN STANLEY INVESTMENT MANAGEMENT INC. located in New York, New York and MORGAN STANLEY DISTRIBUTION, INC. located in New York, New York.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Michael has worked at 4 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mick Moran
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.
CRS (Client Relationship Summary) - RIA
Click below to view Michael James 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
October 31, 2018 - Present
MORGAN STANLEY INVESTMENT MANAGEMENT INC.
Office #2: 1585 Broadway, New York, NY 10036RIA
CRD#: 110353
New York, NY
Current
September 19, 2022 - Present
MORGAN STANLEY DISTRIBUTION, INC.
Office #1: 1585 Broadway, New York, NY 10036BD
CRD#: 30344
New York, NY
Past
January 15, 2022 - September 20, 2022
EATON VANCE DISTRIBUTORS, INC.
BD
CRD#: 37731
New York, NY
Past
November 9, 2016 - January 15, 2022
MORGAN STANLEY DISTRIBUTION, INC.
BD
CRD#: 30344
New York, NY
Past
December 24, 2014 - November 9, 2016
MORGAN STANLEY
RIA
CRD#: 149777
FLORHAM PARK, NJ
Past
November 26, 2014 - November 9, 2016
MORGAN STANLEY
BD
CRD#: 149777
FLORHAM PARK, NJ
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".
MS
MORGAN STANLEY INVESTMENT MANAGEMENT INC.
AFFINITY | VAN KAMPEN | MORGAN STANLEY INVESTMENT MANAGEMENT INC. | MORGAN STANLEY DEAN WITTER INVESTMENT MANAGEMENT INC. | MORGAN STANLEY ASSET MANAGEMENT | MILLER ANDERSON | MAS
CRD#: 110353 / SEC#: 801-15757
RIA
Registered Investment Advisory firm - (1/28/1981 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
Alabama(9/21/2023)
RR
Alaska(9/21/2023)
RR
Arizona(9/21/2023)
RR
Arkansas(9/21/2023)
RR
California(9/21/2023)
RR
Colorado(9/21/2023)
RR
Connecticut(9/21/2023)
RR
Delaware(9/21/2023)
RR
District of Columbia(9/21/2023)
RR
Florida(9/21/2023)
RR
Georgia(9/21/2023)
RR
Hawaii(9/21/2023)
RR
Idaho(9/21/2023)
RR
Illinois(9/21/2023)
RR
Indiana(9/21/2023)
RR
Iowa(9/21/2023)
RR
Kansas(9/21/2023)
RR
Kentucky(9/21/2023)
RR
Louisiana(9/21/2023)
RR
Maine(9/21/2023)
RR
Maryland(9/21/2023)
RR
Massachusetts(9/21/2023)
RR
Michigan(9/21/2023)
RR
Minnesota(9/21/2023)
RR
Mississippi(9/21/2023)
RR
Missouri(9/21/2023)
RR
Montana(9/21/2023)
RR
Nebraska(9/21/2023)
RR
Nevada(9/21/2023)
RR
New Hampshire(9/21/2023)
IAR
New Jersey(10/31/2018)
RR
New Jersey(9/21/2023)
RR
New Mexico(9/21/2023)
RR
New York(9/19/2022)
IAR
New York(9/20/2022)
RR
North Carolina(9/21/2023)
RR
North Dakota(9/21/2023)
RR
Ohio(9/21/2023)
RR
Oklahoma(9/21/2023)
RR
Oregon(9/21/2023)
RR
Pennsylvania(9/21/2023)
RR
Puerto Rico(9/21/2023)
RR
Rhode Island(9/21/2023)
RR
South Carolina(9/21/2023)
RR
South Dakota(9/21/2023)
RR
Tennessee(9/21/2023)
RR
Texas(9/21/2023)
RR
Utah(9/21/2023)
RR
Vermont(9/21/2023)
RR
Virginia(9/21/2023)
RR
Washington(9/21/2023)
RR
West Virginia(9/21/2023)
RR
Wisconsin(9/21/2023)
RR
Wyoming(9/21/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
MS
MORGAN STANLEY INVESTMENT MANAGEMENT INC.
AFFINITY | VAN KAMPEN | MORGAN STANLEY INVESTMENT MANAGEMENT INC. | MORGAN STANLEY DEAN WITTER INVESTMENT MANAGEMENT INC. | MORGAN STANLEY ASSET MANAGEMENT | MILLER ANDERSON | MAS
CRD#: 110353 / SEC#: 801-15757
RIA
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Contact information
Main Address
1585 Broadway, New York, NY 10036
Mailing Address
Phone number
(212) 761-4000
Established
Firm type
Fiscal year end
# of Employees
523
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 21,920 |
| AUM (Assets Under Management) | $ 619,196,027,920 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 01/24/2025 | ||
| 10/24/2023 | ||
| 01/26/2023 |
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.
