William Earl Moran

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2014-05-19
MI	RA	APPROVED	2010-05-26

TX RA
APPROVED_RES

Since 2014-05-19
MI RA
APPROVED

Since 2010-05-26

Branch Locations

31731 Northwestern Hwy Ste 151W, Farmington Hills, MI 48334 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Lpl Financial, Llc (Formerly: Linsco/Private Ledger Corp.)	Farmington Hills	MI	02/2000	Present

02/2000 → Present

Lpl Financial, Llc (Formerly: Linsco/Private Ledger Corp.)

Farmington Hills, MI

Other Businesses

1. 10/16/2013 - WILLIAM E. MORAN INVESTMENT CONSULTING, INC. - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 7/13/2020 - No Business Name - Investment Related - PINCKNEY, MI 48169 - Real Estate Rental - Started 06/30/2014 - 3 Hours Per Month/1 Hour During Securities Trading. 3. 7/21/2020 - Comprehensive Planning, Inc. - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 07/01/2020 - 2 Hours Per Month During Securities Trading. 4. 11/02/2023 - Real Estate Rental - Investment Related - Venice, FL - Start Date 11/01/2023 - 0 Hours Per Month/ During Trading

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2010-04-07
S63	Uniform Securities Agent State Law Examination	1986-10-08

S66 Uniform Combined State Law Examination

2010-04-07
S63 Uniform Securities Agent State Law Examination

1986-10-08

View on SEC IAPD