• Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
KENNETH LOWELL MORAN
KEN MORAN
CRD#: 2561269
IA
Investment Adviser
B
Broker
LPL FINANCIAL LLCCRD#: 6413 220 BROADWAY, SUITE 403
LYNNFIELD, MA 01940
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2016 - 2021 (5 years)2 FIRMS2021 - 2023 (2 years)2 FIRMS2023 - 2023 (<1 year)IALPL FINANCIAL LLC (CRD# 6413)2024 - Present (1 year)BLPL FINANCIAL LLC (CRD# 6413)2023 - Present (1 year)BLPL FINANCIAL LLC (CRD# 6413)2004 - 2016 (11 years)BIFMG SECURITIES, INC. (CRD# 14416)2003 - 2004 (1 year)BDREYFUS SERVICE CORPORATION (CRD# 231)2002 - 2003 (<1 year)BSALOMON SMITH BARNEY INC. (CRD# 7059)1998 - 2002 (3 years)BTUCKER ANTHONY INCORPORATED (CRD# 837)1997 - 1998 (1 year)IALPL FINANCIAL LLC (CRD# 6413)2006 - 2016 (10 years)
License(s)

State Registrations

B
California 11/19/2024

B
New Hampshire 1/16/2024

B
Colorado 10/1/2024

B
New York 1/16/2024

B
Connecticut 10/29/2024

B
North Carolina 2/13/2024

B
Florida 1/16/2024

B
Ohio 1/16/2024

B
Massachusetts 1/2/2024

B
Rhode Island 1/16/2024

IA
Massachusetts 1/10/2024

B
Vermont 1/16/2024

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LPL FINANCIAL LLC (CRD#:6413)
220 BROADWAY, SUITE 403, LYNNFIELD, MA 01940
Registered with this firm since 1/10/2024

B
LPL FINANCIAL LLC (CRD#:6413)
220 BROADWAY, SUITE 403, LYNNFIELD, MA 01940
Registered with this firm since 12/7/2023

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
09/01/2023 - 12/12/2023 OSAIC WEALTH, INC. (CRD#:23131) LYNNFIELD, MA
B
09/01/2023 - 12/12/2023 OSAIC WEALTH, INC. (CRD#:23131) LYNNFIELD, MA
IA
05/12/2021 - 09/01/2023 SAGEPOINT FINANCIAL, INC. (CRD#:133763) LYNNFIELD, MA
B
04/30/2021 - 09/01/2023 SAGEPOINT FINANCIAL, INC. (CRD#:133763) LYNNFIELD, MA
IA
02/23/2016 - 05/04/2021 VOYA FINANCIAL ADVISORS, INC. (CRD#:2882) Lynnfield, MA
B
02/19/2016 - 05/04/2021 VOYA FINANCIAL ADVISORS, INC. (CRD#:2882) Lynnfield, MA
IA
03/06/2006 - 03/01/2016 LPL FINANCIAL LLC (CRD#:6413) LYNNFIELD, MA
B
06/24/2004 - 03/01/2016 LPL FINANCIAL LLC (CRD#:6413) LYNNFIELD, MA
B
03/27/2003 - 06/03/2004 IFMG SECURITIES, INC. (CRD#:14416) PURCHASE, NY
B
07/02/2002 - 03/14/2003 DREYFUS SERVICE CORPORATION (CRD#:231) NEW YORK, NY
B
08/18/1998 - 07/17/2002 SALOMON SMITH BARNEY INC. (CRD#:7059) NEW YORK, NY
B
06/26/1997 - 08/26/1998 TUCKER ANTHONY INCORPORATED (CRD#:837) BOSTON, MA
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.