Roger R. Moreau

MOREAU INVESTMENT MANAGEMENT CO

Jasper, TN

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CRD#: 1701859

Professional summary

Roger Robert Moreau, who also goes by Moreau, is a registered financial advisor currently at MOREAU INVESTMENT MANAGEMENT CO located in Jasper, Tennessee.

Roger is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Roger has worked at 3 firms and has passed the Series 65, Series 63, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Moreau

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roger Robert Moreau's 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 10, 2004 - Present

MOREAU INVESTMENT MANAGEMENT CO

RIA

CRD#: 108574

Jasper, TN

Past

April 14, 1994 - December 31, 2003

MOREAU INVESTMENT MANAGEMENT CO

RIA

CRD#: 108574

LITCHFIELD, CT

Past

July 26, 1989 - March 16, 1994

ADVEST, INC.

CRD#: 10

Past

August 18, 1987 - August 16, 1989

LEHMAN BROTHERS INC.

CRD#: 7506

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.

Highlighted states indicate IAR registrations

IAR

Connecticut
(3/10/2004)

IAR

Tennessee
(3/3/2022)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/30/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/26/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 12/23/1987

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 8/15/1987

General Securities Representative Examination

Current Firm

MOREAU INVESTMENT MANAGEMENT CO

CRD#: 108574 / SEC#: 801-57296

RIA

Registered Investment Advisory firm - (3/10/2004 Terminated)

Connecticut

Registered Investment Advisory firm - (3/10/2004 Approved)

Tennessee

Registered Investment Advisory firm - (3/2/2022 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Jasper, TN

Mailing Address

Phone number

(860) 567-3633

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	47
AUM (Assets Under Management)	$ 61,800,000

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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Roger R. Moreau

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roger Robert Moreau's CRS (Customer Relationship Summary).

Certified licenses

Experience

MOREAU INVESTMENT MANAGEMENT CO

MOREAU INVESTMENT MANAGEMENT CO

ADVEST, INC.

LEHMAN BROTHERS INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/30/1994

Series 63

Date: 8/26/1987

Series 3

Date: 12/23/1987

Series 7

Date: 8/15/1987

Current Firm

MOREAU INVESTMENT MANAGEMENT CO

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

MOREAU INVESTMENT MANAGEMENT CO

TRUST BUT VERIFY

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