James Moran, an individual investor based in New York, NY, leverages the comprehensive resources of BrokerCheck. See sector focus and contact routes.
James Moran, an individual investor based in New York, NY, leverages the comprehensive resources of BrokerCheck to inform his investment decisions. This platform is instrumental in his due diligence process, enabling him to make well-informed choices regarding brokers and brokerage firms. He utilizes BrokerCheck to access crucial investment adviser information and to verify the registration statuses of various entities. The platform provides him with a detailed snapshot of a broker's employment history, any regulatory actions taken against them, and their licensing information. Furthermore, Moran reviews arbitration records and complaints to gain a complete understanding of a broker's professional conduct. He also consults additional resources offered by BrokerCheck, such as lists of brokers barred by FINRA and the SEC Action Lookup, to ensure he is working with reputable and compliant professionals.
Every field above is read from the StartupFundraising firm directory — disclosed location, recorded investments and stated focus — and re-checked as filings arrive. Founders pair it with investors in New York when building a target list.
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