Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Paulo? Claim Your ProfilePaulo Roberto Moraes is a financial advisor with over 20 years of experience in the industry. Paulo has been registered with LPL Financial LLC since June 2011 and has previously worked at Merrill Lynch, Pierce, Fenner & Smith Incorporated, BANC OF AMERICA INVESTMENT SERVICES, INC., MORGAN STANLEY & CO. INCORPORATED, MORGAN STANLEY DW INC., A.B. WATLEY, INC. and SALOMON SMITH BARNEY INC. Paulo holds the Series 66, Series 63, Series 24, SIE, Series 31, and Series 7 licenses. Paulo is registered to provide investment advice in Arizona, California, Colorado, Florida, Georgia, Hawaii, Idaho, Illinois, Montana, Nebraska, Nevada, North Carolina, Oregon, Pennsylvania, Texas, Virginia, and Washington.
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.
Consulting and other non-discretionary advisory services
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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CA
04/03/2023 - Present
LPL Financial LLC (SAN RAFAEL CA)
CA
10/23/2009 - 06/13/2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SANTA ROSA CA)
CA
08/08/2008 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (SAN RAFAEL CA)
CA
04/02/2007 - 08/13/2008
MORGAN STANLEY & CO. INCORPORATED (SAN RAFAEL CA)
CA
08/18/2003 - 04/02/2007
MORGAN STANLEY DW INC. (SAN RAFAEL CA)
NY
02/10/2003 - 05/08/2003
A.B. WATLEY, INC. (NEW YORK NY)
NY
03/04/2002 - 11/15/2002
SALOMON SMITH BARNEY INC. (NEW YORK NY)
BOTH
Issued 07/12/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/09/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/06/2011
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/01/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 03/02/2002
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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