Thomas Moran
Thomas Moran is a registered investment advisor at Citigroup Global Markets INC., based in New York, NY, with 36 years of industry experience. Thomas operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 56,938 clients with $47B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
CGMI offers various investment advisory programs with different fee structures. The CGMI fee is an annualized, fixed, asset-based fee of up to 2% that is negotiable based on a number of factors. Clients may also pay separate fees to third-party investment managers, generally ranging from 0.05% to 1.00% depending on the asset class and investment style. These fees do not include additional charges such as wire transfer fees, taxes, or brokerage commissions for trades executed outside of CGMI or Clearing Firm.
Location
Citi Wealth Management, Sales, 153 E. 53rd AKA 601 Lexington Avenue, 25th Fl, New York, NY, 10022
Get directionsHistory
Regulatory History (5)
Customer Dispute
April 2020Customer Dispute
April 2016Customer Dispute
September 2002Customer Dispute
September 2000Customer Dispute
October 1998Other Business Activities
Thomas owns a rental property in Vero Beach, FL, since 2016, which is investment-related. A rental agent manages the property, requiring minimal time from Thomas.
Employment History
Current Registrations
Citigroup Global Markets INC.
Citigroup Global Markets INC.Broker
Citigroup Global Markets INC.
Previous Registrations
Wells Fargo Advisors, LLCBroker
Wells Fargo Advisors, LLC
Citigroup Global Markets INC.Broker
Citigroup Global Markets INC.
Citicorp Investment Services
Citicorp Investment ServicesBroker
Ryan, Beck & CO., LLC.Broker
Gruntal & CO., L.L.C.Broker
Josephthal Lyon & Ross IncorporatedBroker
D. Blech & Company, IncorporatedBroker
Gruntal & CO. IncorporatedBroker
Dean Witter Reynolds INC.Broker
Cowen & CO.Broker
First Montauk Securities CORP.Broker
State Registrations35 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.