James Moran is a CFP-designated registered investment advisor, based in Scottsdale, AZ, with 15 years of industry experience.
Location
14321 N Northsight Blvd, Scottsdale, AZ, 85260
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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James is an employee of The Vanguard Group, Inc., the parent company of Vanguard Marketing Corporation.
Employment History
Current Registrations
Vanguard Marketing Corporation
April 2019 - Present · 7 yrs 1 mo
Vanguard Advisers, INC.
April 2019 - Present · 7 yrs 1 mo
Vanguard Marketing CorporationBroker
April 2019 - Present · 7 yrs 1 mo
Previous Registrations
USAA Investment Management Company
January 2018 - March 2019 · 1 yr 2 mos
USAA Financial Planning Services
April 2013 - January 2018 · 4 yrs 9 mos
USAA Investment Management Company
January 2013 - April 2013 · 3 mos
USAA Financial Advisors, INC.Broker
October 2011 - March 2019 · 7 yrs 5 mos
Equitrust Marketing Services, LLCBroker
April 2006 - July 2007 · 1 yr 3 mos
State Registrations2 states
AZTX
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.