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Thomas Moran
38 Years of Experience
Oakville, CT
1 DisclosureBroker
Thomas Moran is a registered investment advisor at Osaic Institutions, INC., based in Oakville, CT, with 38 years of industry experience. Thomas is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Annuities, Business Owners, Charitable Giving, and 9 more. Their firm serves 16,312 clients with $6.5B in assets under management.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
570 advisors
Number of Clients
16,312 clients
Average Client Portfolio
$398K average
Assets Under Management
$6.5B
Fee Structure
Minimum Investment:None
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.50% |
Maximum advisory fee is generally 2.50% and is negotiable between the advisor and client.
Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
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Location
216 Davis Street, Suite A, Oakville, CT, 06779
Get directionsHistory
Regulatory History (1)
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.
Customer Dispute
December 2013Denied
Employment History
Current Registrations
Osaic Institutions, INC.Broker
March 2019 - Present · 7 yrs 7 mos
Osaic Institutions, INC.
March 2019 - Present · 7 yrs 7 mos
Previous Registrations
LPL Financial LLC
October 2011 - March 2019 · 7 yrs 5 mos
LPL Financial LLCBroker
October 2011 - March 2019 · 7 yrs 5 mos
Uvest Financial Services Group, INC.
February 2007 - October 2011 · 4 yrs 8 mos
Uvest Financial Services Group, INC.Broker
February 2007 - October 2011 · 4 yrs 8 mos
Webster Investment Services, INC
November 2000 - February 2007 · 6 yrs 3 mos
Webster Investment Services, INC.Broker
July 1999 - February 2007 · 7 yrs 7 mos
Liberty Securities CorporationBroker
January 1995 - July 1999 · 4 yrs 6 mos
Fbs Investment Services, INC.Broker
August 1993 - January 1995 · 1 yr 5 mos
Sun Investment Services CompanyBroker
January 1992 - August 1993 · 1 yr 7 mos
American Express Financial Advisors INC.Broker
February 1988 - November 1991 · 3 yrs 9 mos
State Registrations10 states
CACTFLMANJNYOKSCTNTX
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.