Michael Moran has been Chief Compliance Officer of Miami Valley Portfolio Management since March 1992, is a control person of the firm and directly owns between 25% and 50% of it. Michael Moran holds a Bachelor of Science in Finance from the University of Dayton.
Miami Valley Portfolio Management Inc is a Brookville, OH firm with $219M under management, 738 clients and 4 advisers across 3 offices, as of its March 2026 filing.
Mike A. Moran is Corporate Secretary of Miami Valley Portfolio Management Inc. He has served as an Investment Advisor Representative with Miami Valley Portfolio Management, Inc. since 1988. He assists clients with fee based money management, including stocks, bonds, mutual funds, options, variable annuities and estate planning.
Michael Moran’s longest registration is the current one, 27 years at Miami Valley Portfolio Management since 1999.
- Sa Stone Investment Advisors Inc.– · 2 yearsBirmingham, AL · Adviser representative · Firm CRD 174182
- Sterne Agee Investment Advisor Services, Inc.– · 10 yearsBrookville, OH · Adviser representative · Firm CRD 7365
- – present · 27 yearsBrookville, OH · Adviser representative · Firm CRD 106389
Investment adviser representative registrations
Michael Moran is registered as an investment adviser representative in 2 states. The first approvals date from May 1999; the most recent is Florida, in July 2012.
- FloridaSince 11 July 2012
- OhioSince 26 May 1999
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 63 | Uniform Securities Agent State Law Examination | 27 April 2005 |
| Series 7 | General Securities Representative Examination | 15 June 1994 |
| Series 26 | Investment Company Products/Variable Contracts Principal Examination | 5 November 1987 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 2 October 1985 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Name
- Investment Company Products/Variable Contracts Principal Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Michael Andrew Moran
- CRD
- 1410722
- Firm
- Miami Valley Portfolio Management · CRD 106389
- Role
- Chief Compliance Officer
- Office
- 475 ARLINGTON RD, Brookville, OH 45309
- Registration
- Investment adviser and broker registrations
- In the industry since
- October 1985
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- behnkenfinancial.com
Where does Michael Moran work?
Michael Moran has been Chief Compliance Officer of Miami Valley Portfolio Management Inc since March 1992, and is a control person of the firm.
Is Michael Moran a financial advisor?
Yes. Michael Moran has a current investment-adviser registration in Florida and Ohio, through Miami Valley Portfolio Management since May 1999.
How many years of experience does Michael Moran have?
Michael Moran has 41 years in the financial industry, since October 1985, across 3 adviser firms.
What exams has Michael Moran passed?
Michael Moran has passed 4 licensing exams: the Series 6, Series 26, Series 7 and Series 63. The earliest, the Series 6, was passed in October 1985. FINRA credited Michael Moran with the SIE, which began in October 2018.
Where is Michael Moran based?
Michael Moran’s registered office is in Brookville, OH.
Is Michael Moran registered with FINRA?
Yes. Michael Moran has a current broker registration, under CRD 1410722.
Source: FINRA BrokerCheck
How can I verify Michael Moran’s record?
Search CRD 1410722 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Michael Moran’s full registration record.
