James Moran
James Moran is a registered investment advisor at Capitol Securities Management, INC., based in Melville, NY, with 39 years of industry experience. James operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Financial Planning & Coaching, Insurance Planning, Investment Management, and 2 more. Their firm serves 3,745 clients with $1.8B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
CSM charges a percentage of your portfolio each year for investment advisory advice. The maximum advisory fee is 2.0% per year. The fee is paid in advance, on a quarterly or monthly basis. The amount you pay will reduce any money you make on your investments. CSM also offers wrap fee programs where the fee includes investment advisory services and brokerage execution costs. The maximum wrap fee is 2.0% per year.
Location
201 Old Country Road, Suite 206, Melville, NY, 11747
Get directionsHistory
Regulatory History (2)
Regulatory
May 2001Employment Separation After Allegations
November 1999Other 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.
Capitol Securities Management, INC.Broker
Previous Registrations
Gunnallen Financial, INC
Gunnallen Financial, INCBroker
Capitol Securities Management, INC.Broker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Painewebber IncorporatedBroker
Kidder, Peabody & CO. IncorporatedBroker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Philips, Appel & Walden, INC.Broker
State Registrations10 states
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.