Francis J. Moran
Professional summary
Francis Joseph Moran IV, who also goes by Francis Moran, Frankie Moran, is a registered financial professional currently at VOYA FINANCIAL ADVISORS, INC. located in Windsor, Connecticut.
Francis is registered as a RR (Registered Representative) and started their career in finance in 2023. Francis has worked at 1 firm and has passed the Series 63, Series 6TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Francis Joseph Moran IV's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 10, 2023 - Present
VOYA FINANCIAL ADVISORS, INC.
Office #1: One Orange Way, C4-s, Windsor, CT 06095Primary Firm SEC Registration
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/6/2025)
Exams
Series 6TO
Date: 10/10/2023
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current Firm
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,854 |
| AUM (Assets Under Management) | $ 2,744,735,129 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 9 |
Red Flags
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