Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Maurice? Claim Your ProfileMaurice Tessier is a financial advisor at RBC Capital Markets, LLC in Sarasota, FL. Maurice has been in the financial services industry since 1998 and has experience with a variety of financial products and services. Maurice holds the Series 7, Series 31, Series 63 and Series 65 licenses. Maurice has also been registered with several other firms in the past, including Merrill Lynch, Pierce, Fenner & Smith Incorporated, Citigroup Global Markets Inc. and Prudential Securities Incorporated. Maurice specializes in providing financial advice to high-net-worth individuals, families, corporations and other businesses. Maurice provides financial planning, portfolio management, and investment advisory services.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
1
2
FL
10/24/2024 - Present
RBC Capital Markets, LLC (Sarasota FL)
NY
08/26/2008 - 07/22/2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (KINGSTON NY)
NY
05/31/2002 - 09/09/2008
CITIGROUP GLOBAL MARKETS INC. (KINGSTON NY)
NY
02/27/1998 - 06/07/2002
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 11/16/2021
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/05/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/17/2001
Series 31 - Futures Managed Funds Examination
BC
Issued 01/26/1998
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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