David J. Moret

WELLESLEY ASSET MANAGEMENT

Sarasota, FL

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CRD#: 1221301

Professional summary

David Jacques Moret is a registered financial advisor currently at WELLESLEY ASSET MANAGEMENT, INC. located in Sarasota, Florida and FORESIDE FUND SERVICES, LLC located in Portsmouth, New Hampshire.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. David has worked at 16 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1.Wellesley Asset Management, Inc.; Sarasota, FL ; Investment Related; Began 01/17/2017; Asset Management; Director, Institutional Sales; Attract and retain assets from third party advisors; 160 hours per month all during securities trading hours. 2: IN ADDITION TO BEING AN INVESTMENT ADVISOR REPRESENTATIVE OF Wellesley Asset Management, THIS ASSOCIATE IS A REGISTERED REPRESENTATIVE OF Foreside Fund Services, LLC, AN UNAFFILIATED BROKER DEALER. THE ASSOCIATE IS A REGISTERED REPRESENTATIVE FOR PURPOSES OF Foreside Fund Services, LLC.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Jacques Moret's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

March 21, 2017 - Present

WELLESLEY ASSET MANAGEMENT, INC.

RIA

CRD#: 116176

Sarasota, FL

Current

February 9, 2017 - Present

FORESIDE FUND SERVICES, LLC

Office #1: 100 Market St. Suite 203, Portsmouth, NH 03801

CRD#: 46106

Portsmouth, NH

Past

January 27, 2016 - January 30, 2017

PRINCIPAL FUNDS DISTRIBUTOR, INC.

CRD#: 43261

DES MOINES, IA

Past

September 23, 2008 - January 30, 2017

PRINCIPAL ASSET MANAGEMENT

RIA

CRD#: 109002

Monterey, CA

Past

July 23, 2008 - April 5, 2016

PRINCIPAL SECURITIES, INC.

CRD#: 1137

ALAMO, CA

Past

March 2, 2004 - January 2, 2008

DAVIS DISTRIBUTORS, LLC

CRD#: 7975

TUCSON, AZ

Past

July 31, 2002 - February 11, 2004

CALAMOS ADVISORS LLC

RIA

CRD#: 105758

NAPERVILLE, IL

Past

July 5, 2001 - February 11, 2004

CALAMOS FINANCIAL SERVICES LLC

CRD#: 19850

NAPERVILLE, IL

Past

April 18, 2001 - June 18, 2001

EVERLAKE DISTRIBUTORS, LLC

CRD#: 100460

NORTHBROOK, IL

Past

April 6, 2000 - March 8, 2001

NUVEEN SECURITIES, LLC

CRD#: 469

CHICAGO, IL

Past

August 6, 1998 - September 14, 1999

BISYS SHELF B/D (1), INC.

CRD#: 26501

BOSTON, MA

Past

June 5, 1997 - February 6, 1998

FIMCO SECURITIES GROUP, INC.

CRD#: 30343

PORT WASHINGTON, WI

Past

September 12, 1994 - June 16, 1997

BNY MELLON SECURITIES CORPORATION

CRD#: 231

NEW YORK, NY

Past

March 26, 1991 - June 8, 1994

CAL FED INVESTMENTS

CRD#: 19631

SACRAMENTO, CA

Past

June 13, 1986 - March 12, 1991

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

January 1, 1984 - June 5, 1986

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

WELLESLEY ASSET MANAGEMENT, INC.

WELLESLEY ASSET MANAGEMENT, INC. | WELLESLEY INVESTMENT ADVISORS, INC.

CRD#: 116176 / SEC#: 801-61288

RIA

Registered Investment Advisory firm - (6/27/2002 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alaska
(1/2/2020)

Arizona
(4/28/2017)

California
(2/9/2017)

Colorado
(1/3/2022)

IAR

Florida
(1/30/2020)

Florida
(1/3/2023)

Hawaii
(1/3/2022)

Idaho
(1/3/2022)

Kansas
(1/3/2023)

Montana
(4/28/2017)

Nevada
(1/3/2023)

IAR

New Hampshire
(1/14/2025)

New Mexico
(4/5/2019)

Oklahoma
(1/4/2021)

Oregon
(4/28/2017)

South Dakota
(4/28/2017)

Texas
(10/11/2019)

Utah
(1/3/2022)

Washington
(4/28/2017)

Wyoming
(4/28/2017)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/29/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/6/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 8/5/1986

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 12/17/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/23/1997

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

WELLESLEY ASSET MANAGEMENT, INC.

WELLESLEY ASSET MANAGEMENT, INC. | WELLESLEY INVESTMENT ADVISORS, INC.

CRD#: 116176 / SEC#: 801-61288

RIA

Registered Investment Advisory firm - (6/27/2002 Approved)

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Contact information

Main Address

100 Market Street Suite 203, Portsmouth, NH 03801

Mailing Address

Phone number

(781) 416-4000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WAM ADV 2A REFERRED CLIENTS (10/29/2025)

WAM ADV 2A DIRECT CLIENTS (10/29/2025)

Regulatory assets under management

Total Number of Accounts	1,478
AUM (Assets Under Management)	$ 2,063,684,848

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

David J. Moret

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Jacques Moret's CRS (Customer Relationship Summary).

Certified licenses

Experience

FORESIDE FUND SERVICES, LLC

PRINCIPAL FUNDS DISTRIBUTOR, INC.

PRINCIPAL ASSET MANAGEMENT

PRINCIPAL SECURITIES, INC.

DAVIS DISTRIBUTORS, LLC

CALAMOS ADVISORS LLC

CALAMOS FINANCIAL SERVICES LLC

EVERLAKE DISTRIBUTORS, LLC

NUVEEN SECURITIES, LLC

BISYS SHELF B/D (1), INC.

FIMCO SECURITIES GROUP, INC.

BNY MELLON SECURITIES CORPORATION

CAL FED INVESTMENTS

MORGAN STANLEY DW INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

WELLESLEY ASSET MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/29/2000

Series 63

Date: 3/6/1986

SIE

Date: 10/1/2018

Series 3

Date: 8/5/1986

Series 7

Date: 12/17/1983

Series 24

Date: 9/23/1997

FINRA

Current Firm

WELLESLEY ASSET MANAGEMENT, INC.

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WELLESLEY ASSET MANAGEMENT, INC.

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