Caroline K. Moreau
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.
Caroline Klaffky Moreau, who also goes by Caroline Leigh Klaffky, Caroline Klaffky, was a registered financial professional .
Caroline is a previously registered financial professional and started their career in finance in 1999. Caroline had worked at 4 firms and has passed the Series 66, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 8, 2013 - July 13, 2016
WEALTHSPIRE ADVISORS
June 27, 2012 - July 31, 2012
CARY STREET PARTNERS
February 14, 2012 - July 31, 2012
CARY STREET PARTNERS
August 24, 1999 - September 28, 2000
FIRST UNION BROKERAGE SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
WEALTHSPIRE ADVISORS
CRD#: 106259 / SEC#: 801-39127
Contact information
Regulatory assets under management
| Total Number of Accounts | 369 |
| AUM (Assets Under Management) | $ 518,106,982 |
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.
