Michael Moran has been Chief Compliance Officer of Baker Avenue Asset Management since June 2026, is not listed as a control person, but directly owns under 5% of the firm.
Baker Avenue Asset Management, LP is a San Francisco, CA firm with $5.09B under management, 1,024 clients and 29 advisers across 14 offices, as of its September 2026 filing.
Michael Moran is Chief Compliance Officer of BakerAvenue. He works closely with firm leadership, advisors and business teams. He has more than 25 years of experience in financial services compliance, including leadership roles at Charles Schwab, Wells Fargo and Bank of America.
No adviser firm registrations are on Michael Moran’s record.
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 9 May 2000 |
| Series 53 | Municipal Securities Principal Examination | 2 July 1998 |
| Series 63 | Uniform Securities Agent State Law Examination | 10 March 1998 |
| Series 7 | General Securities Representative Examination | 24 February 1998 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- Municipal Securities Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Michael Patrick Moran
- CRD
- 2997915
- Firm
- Baker Avenue Asset Management · CRD 132657
- Role
- Chief Compliance Officer
- Registration
- No current adviser or broker registration
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- bakerave.com
Where does Michael Moran work?
Michael Moran has been Chief Compliance Officer of Baker Avenue Asset Management, LP since June 2026.
Does Michael Moran have a current investment-adviser registration?
Michael Moran has no current investment-adviser or broker registration.
What exams has Michael Moran passed?
Michael Moran has passed 4 licensing exams: the Series 7, Series 63, Series 53 and Series 24. The earliest, the Series 7, was passed in February 1998. FINRA credited Michael Moran with the SIE, which began in October 2018.
Is Michael Moran registered with FINRA?
No. Michael Moran has no current broker registration.
How can I verify Michael Moran’s record?
Search CRD 2997915 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Michael Moran’s full registration record.
Tom NgoPresident & CEO / Partner
Gerald LuffChief Operating Officer / Partner- Gerald LuffChief Operating Officer
Simon BakerExecutive Chairman / Partner
Doug CoudenChief Investment Officer / Partner
King LipChief Strategist / Partner
Gerry OconnellPartner- Sharon SimpsonPartner
Scott StephensManaging Director / Partner
Tanya WelchPartner