Roland B. Morin
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Roland Bertrand Morin was a registered financial professional .
Roland is a previously registered financial professional and started their career in finance in 1982. Roland had worked at 3 firms and has passed the Series 63, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 8, 2005 - December 31, 2018
R. B. MORIN & ASSOCIATES, LLC
February 24, 2000 - December 31, 2010
COMMONWEALTH FINANCIAL NETWORK
October 18, 1984 - December 31, 2010
COMMONWEALTH FINANCIAL NETWORK
September 21, 1984 - October 15, 1984
COMMONWEALTH FINANCIAL NETWORK
November 16, 1982 - November 5, 1984
PRUDENT INVESTMENTS
State Registrations and Notice Filings
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Exams
Current Firm
R. B. MORIN & ASSOCIATES, LLC
CRD#: 128969 / SEC#:
Contact information
Red Flags
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