Roy P. Moro
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.
Roy Peter Moro, who also goes by Roy P Moro, was a registered financial professional .
Roy is a previously registered financial professional and started their career in finance in 1973. Roy had worked at 4 firms and has passed the SIE, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 28, 1999 - December 19, 2018
CADARET, GRANT & CO., INC.
June 1, 1998 - August 30, 1999
OSAIC FA, INC.
December 3, 1996 - June 1, 1998
LINCOLN FINANCIAL DISTRIBUTORS, INC.
May 12, 1992 - September 5, 1996
LINCOLN FINANCIAL DISTRIBUTORS, INC.
September 8, 1982 - May 14, 1992
CINCINNATI ANALYSTS, INC.
August 1, 1973 - March 7, 1983
LINCOLN FINANCIAL DISTRIBUTORS, 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
Series 1
Date: 7/25/1973
Registered Representative ExaminationCurrent Firm
CADARET, GRANT & CO., INC.
CRD#: 10641 / SEC#: 801-42709, 8-27844
Contact information
FINRA licenses (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 25,442 |
| AUM (Assets Under Management) | $ 7,671,069,034 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/14/2024 | ||
| 01/10/2024 | ||
| 12/14/2022 |
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.
