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James Moran

Capitol Securities Management, INC.
39 Years of Experience
Naples, FL
2 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

James Moran is a registered investment advisor at Capitol Securities Management, INC., based in Naples, FL, with 39 years of industry experience. James is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, High Net Worth, and 4 more. Their firm serves 3,970 clients with $2.2B in assets under management.

Capitol Securities Management, INC.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
100 advisors
Number of Clients
3,970 clients
Average Client Portfolio
$545K average
Assets Under Management
$2.2B

Fee Structure

Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.00%

Maximum advisory fee is 2.0% per year. Fees are negotiable based on account complexity, asset size, and portfolio style.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

365 Fifth Ave. South Ste. 206, Naples, FL, 34102

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History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Regulatory
May 2001
Final
Employment Separation After Allegations
November 1999
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

James is the president of Washington Capitol Group LLC and New York Capitol Group LLC, both investment-related. He spends about 10-20% of his time on business consultation, affinity services, business advisory services, corporate executive services, corporate structure & build out, strategic alliances/analysis, professional services, and non-variable insurance sales.

Employment History
Current Registrations
Capitol Securities Management, INC.
August 2007 - Present · 19 yrs 2 mos
Capitol Securities Management, INC.Broker
July 2007 - Present · 19 yrs 3 mos
Previous Registrations
Gunnallen Financial, INC
May 2006 - August 2007 · 1 yr 3 mos
Gunnallen Financial, INCBroker
September 2003 - August 2007 · 3 yrs 11 mos
Capitol Securities Management, INC.Broker
April 2003 - September 2003 · 5 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
January 1996 - December 1999 · 3 yrs 11 mos
Painewebber IncorporatedBroker
January 1995 - December 1995 · 11 mos
Kidder, Peabody & CO. IncorporatedBroker
September 1994 - January 1995 · 4 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
January 1987 - September 1994 · 7 yrs 8 mos
Philips, Appel & Walden, INC.Broker
August 1983 - January 1987 · 3 yrs 5 mos
State Registrations11 states
ALCADEFLMAMTNCNJNYPATX
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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