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RIA / WealthAdvisorCertified Financial Planner12 years in industry

JOHN FRANCIS MORAN

Advisor at BAY HARBOR WEALTH MANAGEMENT, LLC

HUNT VALLEY, MD

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:216e4b10-f10d-b2cb-037e-d5d4903d359f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:14 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: May 14, 2014 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: BAY HARBOR WEALTH MANAGEMENT, LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 3, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 2
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S66
First exam: Apr 3, 2014
First registration: May 14, 2014
Dual registered: no
IAPD individual key: 5827028

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
BAY HARBOR WEALTH MANAGEMENT, LLC	Independent wealth	Oct 11, 2018	n/a	yes	HUNT VALLEY, MD	Current employment
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.	Former SEC adviser	Dec 5, 2014	Aug 15, 2019	no	Hunt Valley, MD\|SARASOTA, FL	Previous registration
MML INVESTORS SERVICES, LLC	Bd affiliated wealth	May 14, 2014	Sep 24, 2014	no	HUNT VALLEY, MD	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.	BAY HARBOR WEALTH MANAGEMENT, LLC	Aug 15, 2019	Oct 11, 2018	-308	Firm change after gap	RIA to new firm
MML INVESTORS SERVICES, LLC	GLOBAL FINANCIAL PRIVATE CAPITAL, INC.	Sep 24, 2014	Dec 5, 2014	72	Firm change	Other

Relationships

Registered with (3)

→ BAY HARBOR WEALTH MANAGEMENT, LLCRegistered adviserregistration: current employment
Oct 11, 2018 to presentfactForm ADV
→ GLOBAL FINANCIAL PRIVATE CAPITAL, INC.Registered adviserregistration: previous registration
Dec 5, 2014 to Aug 15, 2019factForm ADV
→ MML INVESTORS SERVICES, LLCRegistered adviserregistration: previous registration
May 14, 2014 to Sep 24, 2014factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:216e4b10-f10d-b2cb-037e-d5d4903d359f
First observed: May 14, 2014
Last observed: Sep 14, 2026 7 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

JOHN FRANCIS MORAN

Advisor at BAY HARBOR WEALTH MANAGEMENT, LLC

HUNT VALLEY, MD

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:216e4b10-f10d-b2cb-037e-d5d4903d359f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:14 AM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

BAY HARBOR WEALTH MANAGEMENT, LLC

Independent wealth

Oct 11, 2018

n/a

yes

HUNT VALLEY, MD

Current employment

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

Former SEC adviser

Dec 5, 2014

Aug 15, 2019

Hunt Valley, MD|SARASOTA, FL

Previous registration

MML INVESTORS SERVICES, LLC

Bd affiliated wealth

May 14, 2014

Sep 24, 2014

HUNT VALLEY, MD

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

BAY HARBOR WEALTH MANAGEMENT, LLC

Aug 15, 2019

Oct 11, 2018

-308

Firm change after gap

RIA to new firm

MML INVESTORS SERVICES, LLC

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

Sep 24, 2014

Dec 5, 2014

Firm change

Other