Timothy O'Leary has been Chief Compliance Officer of Moran Wealth Management since February 2025, is not listed as a control person, but directly owns under 5% of the firm. Timothy O'Leary holds a Business Administration degree from Wagner College.
Moran Wealth Management, LLC is a Naples, FL firm with $5.1B under management, 1,694 clients and 40 advisers in one office, as of its June 2026 filing.
Timothy O’Leary is Chief Compliance Officer of Moran Wealth Management, based in Naples, Florida. He has more than three decades of experience in the financial services industry, including executive leadership roles. He helps oversee the firm's compliance program and annual review reporting, and has held leadership positions with Muriel Siebert & Co., Spire Investment Partners, Smith Barney, Datek Online and TD Waterhouse.
- Citigroup Global Markets Inc.– · under a yearToms River, NJ · Adviser representative · Firm CRD 7059
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 52TO | Municipal Securities Representative Examination | 2 January 2023 |
| Series 79TO | Investment Banking Registered Representative Examination | 2 January 2023 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 53 | Municipal Securities Principal Examination | 24 April 2015 |
| Series 24 | General Securities Principal Examination | 21 July 2009 |
| Series 10 | General Securities Sales Supervisor - General Module Examination | 29 June 2009 |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 2 October 2007 |
| Series 66 | Uniform Combined State Law Examination | 11 September 2006 |
| Series 7 | General Securities Representative Examination | 28 August 2006 |
| Series 8 | General Securities Sales Supervisor Examination (Options Module & General Module) | 29 June 1987 |
| Series 63 | Uniform Securities Agent State Law Examination | 21 January 1986 |
- Name
- Municipal Securities Representative Examination
- Name
- Investment Banking Registered Representative Examination
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- Municipal Securities Principal Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Name
- General Securities Sales Supervisor Examination (Options Module & General Module)
- Name
- Uniform Securities Agent State Law Examination
- Full name
- Timothy Andrew O'Leary
- CRD
- 1414269
- Firm
- Moran Wealth Management · CRD 319208
- Role
- Chief Compliance Officer
- Registration
- No current adviser or broker registration
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- moranwm.com
Where does Timothy O'Leary work?
Timothy O'Leary has been Chief Compliance Officer of Moran Wealth Management, LLC since February 2025.
Does Timothy O'Leary have a current investment-adviser registration?
Timothy O'Leary has no current investment-adviser or broker registration.
What exams has Timothy O'Leary passed?
Timothy O'Leary has passed 11 licensing exams: the Series 63, Series 8, Series 7, Series 66, Series 9, Series 10, Series 24, Series 53, Series 52TO, Series 79TO and Series 99TO. The earliest, the Series 63, was passed in January 1986. FINRA credited Timothy O'Leary with the SIE, which began in October 2018.
Where was Timothy O'Leary previously registered as an investment adviser?
Timothy O'Leary has past investment-adviser registrations through Citigroup Global Markets Inc., September 2006 to June 2007, across 1 firm.
Is Timothy O'Leary registered with FINRA?
No. Timothy O'Leary has no current broker registration.
How can I verify Timothy O'Leary’s record?
Search CRD 1414269 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Timothy O'Leary’s full registration record.
