David Jacques Moret
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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
42 years in the financial services industry
Current & Past Employments
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Current Firm
WELLESLEY ASSET MANAGEMENT, INC. | WELLESLEY INVESTMENT ADVISORS, INC. | WELLESLEY INSTITUTIONAL CAPITAL, INC. | WELLESLEY CONVERTIBLES, INC.
Contact Information
Main Address
100 Market Street Suite 203, Portsmouth, NH 03801Phone Number
(781) 416-4000# of Employees
30SEC notice filing (51 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
1,956AUM (Assets Under Management)
$1,991,266,449Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
WELLESLEY ASSET MANAGEMENT, INC. | WELLESLEY INVESTMENT ADVISORS, INC. | WELLESLEY INSTITUTIONAL CAPITAL, INC. | WELLESLEY CONVERTIBLES, INC.
State Registrations and Notice Filings
(1/2/2020)
(4/28/2017)
(2/9/2017)
(1/3/2022)
(1/30/2020)
(1/3/2023)
(1/3/2022)
(1/3/2022)
(1/3/2023)
(4/28/2017)
(1/3/2023)
(1/14/2025)
(4/5/2019)
(1/2/2026)
(1/4/2021)
(4/28/2017)
(4/28/2017)
(10/11/2019)
(1/3/2022)
(4/28/2017)
(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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view David Jacques Moret's CRS (Customer Relationship Summary).
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