Thomas M. Moran

MORAN WEALTH MANAGEMENT

Naples, FL 34108

Some features on this profile are disabled

CRD#: 709062

Professional summary

Thomas Michael Moran, AIF®, who also goes by Thomas Moran, Tom Moran, is a registered financial advisor currently at MORAN WEALTH MANAGEMENT, LLC located in Naples, Florida.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1980. Thomas has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Thomas Moran | Tom 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 JAMES MADISON INSTITUTE; NOT INV RELATED; TALLAHASSEE, FL; FLORIDA-BASED RESEARCH AND EDUCATION; ADVISORY BOARD MEMBER; START 3/26/2012; LESS THAN 1 HR PER MONTH; 0 HRS DURING TRADING. RENTAL PROPERTY; INV RELATED; NAPLES, FL; 100% OWNER W/SPOUSE; START: 6/1/2016; 0 HRS/MO; 0 DURING TRADING. CO-TRUSTEE FOR SPOUSE'S TRUST; INV RELATED; NAPLES, FL; START 4/25/2017; 0 HR/MO; 0 DURING TRADING. MORAN FAMILY FOUNDATION; INV. RELATED; NAPLES, FL; TRUSTEE; START 9/2021; 10 HRS PER MONTH; 10 HRS DURING TRADING.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Michael 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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

August 22, 2022 - Present

MORAN WEALTH MANAGEMENT, LLC

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

RIA

CRD#: 319208

Naples, FL

Past

November 15, 2018 - August 30, 2022

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA

CRD#: 11025

NAPLES, FL

Past

November 15, 2018 - August 30, 2022

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

NAPLES, FL

Past

July 1, 2003 - November 15, 2018

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

NAPLES, FL

Past

July 1, 2003 - November 15, 2018

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

NAPLES, FL

Past

April 17, 1984 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

RIA

CRD#: 7471

NAPLES, FL

Past

April 12, 1984 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

April 15, 1982 - May 1, 1984

RICHARDSON GREENSHIELDS SECURITIES INC.

CRD#: 3178

Past

May 27, 1980 - April 15, 1982

UBS FINANCIAL SERVICES INC.

CRD#: 8174

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
(9/2/2022)

IAR

Texas
(8/22/2022)

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: 11/4/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/21/1983

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: 5/17/1980

General Securities 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)

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

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.

Similar Advisors

Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

IAR

Estero, FL

Blake Feldmann

INTEGRATED ADVISORS NETWORK LLC

IAR

Naples, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Thomas M. Moran

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Michael Moran's CRS (Customer Relationship Summary).

Certified licenses

Experience

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

PRUDENTIAL EQUITY GROUP, LLC

PRUDENTIAL EQUITY GROUP, LLC

RICHARDSON GREENSHIELDS SECURITIES INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

MORAN WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/4/1992

Series 63

Date: 2/21/1983

SIE

Date: 10/1/2018

Series 7

Date: 5/17/1980

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

Similar Advisors