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Robert W. Moreschi

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CRD#: 2294739
RM

Professional summary

Robert William Moreschi was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Robert is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, Robert had worked at 5 firms, which includes EASTERN POINT SECURITIES INC., LASALLE ST SECURITIES L.L.C., VOYA FINANCIAL ADVISORS INC., WATERSTONE FINANCIAL GROUP INC., LCL INVESTMENTS INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 14, 2009 - January 19, 2021

EASTERN POINT SECURITIES, INC.

BD
CRD#: 21921
LEXINGTON, VA
Past

May 4, 2000 - December 31, 2005

LASALLE ST SECURITIES, L.L.C.

BD
CRD#: 7191
ELMHURST, IL
Past

January 8, 1998 - May 3, 2000

VOYA FINANCIAL ADVISORS, INC.

BD
CRD#: 2882
WINDSOR, CT
Past

June 14, 1995 - December 11, 1997

WATERSTONE FINANCIAL GROUP, INC.

BD
CRD#: 10078
BOSTON, MA
Past

January 26, 1995 - June 22, 1995

LASALLE ST SECURITIES, L.L.C.

BD
CRD#: 7191
ELMHURST, IL
Past

December 7, 1992 - September 8, 1994

LCL INVESTMENTS, INC.

BD
CRD#: 30340

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 5/4/2010
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 12/1/1999
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 7TO
Date: 12/22/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/30/1992
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/22/2022
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 5/10/1993
Financial and Operations Principal Examination

Current Firm

EP
EASTERN POINT SECURITIES, INC.
EASTERN POINT SECURITIES, INC. | PRESIDIO SECURITIES, INC.

CRD#: 21921 / SEC#: , 8-39398

BD
Terminated by SEC on 01/18/2021
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Contact information

Main Address
Mailing Address
Phone number
Established
Arizona since 11/04/1987
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
EASTERN POINT TRUST COMPANYOWNER
DEPASQUALE, CATHLEENFINOP AND PRINCIPAL OPERATIONS OFFICER1336014
MORESCHI, ROBERT WILLIAMMANAGING PRINCIPAL, CFO, AND CCO2294739

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.

Company Information

EASTERN POINT SECURITIES, INC.

CRD#: 21921

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