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ROBERT K MORAN
ROBERT KENNETH MORAN
CRD#: 4829755
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 2100 ROSS AVE
DALLAS, TX 75201
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2007 - 2010 (3 years)2 FIRMS2004 - 2007 (2 years)2 FIRMS2010 - Present (14 years)
License(s)

State Registrations

B
Alabama 5/1/2018

B
Montana 5/1/2018

B
Alaska 5/1/2018

B
New Hampshire 5/1/2018

B
Arizona 4/4/2013

B
New Jersey 7/13/2015

B
Arkansas 2/7/2012

B
New Mexico 10/26/2022

B
California 5/20/2011

B
New York 2/20/2013

B
Colorado 11/7/2011

B
North Carolina 3/29/2011

B
Connecticut 1/8/2014

B
North Dakota 5/1/2018

B
Delaware 5/19/2023

B
Ohio 5/1/2018

B
Florida 11/7/2011

B
Oregon 1/3/2019

B
Georgia 6/20/2023

B
Pennsylvania 1/6/2015

B
Hawaii 5/21/2014

B
South Carolina 5/1/2018

B
Illinois 3/20/2017

B
Tennessee 5/1/2018

B
Kentucky 5/1/2018

IA
Texas 11/4/2010

B
Louisiana 2/28/2012

B
Texas 12/6/2010

B
Maryland 4/4/2022

B
Virginia 5/1/2018

B
Massachusetts 11/3/2017

B
Washington 12/12/2016

B
Missouri 5/1/2018

B
Wyoming 8/5/2024

SRO Registrations

B
Cboe BYX Exchange, Inc.

B
Cboe BZX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
Nasdaq Stock Market

B
New York Stock Exchange

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Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
2100 ROSS AVE, DALLAS, TX 75201
Registered with this firm since 11/4/2010

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
2100 ROSS AVE, DALLAS, TX 75201
Registered with this firm since 11/16/2010

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
03/14/2007 - 09/01/2010 CAIN, WATTERS & ASSOCIATES, P.L.L.C. (CRD#:111521) DALLAS, TX
IA
03/14/2007 - 08/27/2010 III TO I FINANCIAL MANAGEMENT RESEARCH, L.P. (CRD#:139713) DALLAS, TX
IA
10/25/2004 - 01/03/2007 MERRILL LYNCH PIERCE FENNER & SMITH INC. (CRD#:7691) SAN FRANCISCO, CA
B
10/11/2004 - 01/03/2007 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SAN FRANCISCO, CA
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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.