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Michael Leonard Gorman

Investment Adviser Representative at MODERN CAPITAL ADVISORS, LLC

Pearland, TXCRD #2817676Dual-registered
Disclosure(s) on record — see official records below
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
29 yrs
States Registered
2 states
Exams Passed
6

Registrations & licenses

Registration type
Dual-registered
Registered in 2 states
MissouriTexas
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 3/13/1998
Series 63
Uniform Securities Agent State Law Examination
Passed 12/26/1996
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 31
Futures Managed Funds Examination
Passed 10/3/2003
Series 7
General Securities Representative Examination
Passed 3/3/1998
Series 6
Investment Company Products/Variable Contracts Representative Examination
Passed 12/26/1996

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Asset tierAnnual rate
Up to $250,0002.00%
Over $250,000 to $500,0001.75%
Over $500,000 to $1,000,0001.50%
Above $1,000,0001.25%
Account minimum: $5,000

Firm-stated minimum; may be waived at the firm's discretion.

Source

MODERN CAPITAL Advisors, LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

MODERN CAPITAL SECURITIES INC.Current
1/8/2026RALEIGH, NC
LIBERTY PARTNERS FINANCIAL SERVICES, LLC
8/4/201412/10/2014RALEIGH, NC
AMERIPRISE FINANCIAL SERVICES, INC.
5/8/20098/14/2014SUGAR LAND, TX
CITIGROUP GLOBAL MARKETS INC.
4/3/20025/27/2009HOUSTON, TX
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
2/24/19984/8/2002NEW YORK, NY
LIBERTY PARTNERS FINANCIAL SERVICES, LLC
1/6/201510/31/2025RALEIGH, NC
CHUBB SECURITIES CORPORATION
1/1/199712/16/1997FORT WAYNE, IN

Official records & sources

Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Michael Leonard Gorman has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

Michael Leonard Gorman - Financial Advisor in Pearland, TX | AdvisorFinder