Yves R. Lapointe

TEMPUS ASSET MANAGEMENT

BURLINGTON, VT 05401

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CRD#: 4415577

Professional summary

Yves Remi Lapointe is a registered financial advisor currently at TEMPUS ASSET MANAGEMENT located in Burlington, Vermont.

Yves is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Yves has worked at 4 firms and has passed the Series 66, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

Gadsden Insurance Company. Insurance Company. Non Investment related. President and administrator since 09/2010. Full time 1313 N Market St, Suite 1200 Wilmington, DE 19806

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Yves Remi Lapointe'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

January 1, 2009 - Present

TEMPUS ASSET MANAGEMENT

Office #1: 247 Pearl St Suite 209, Burlington, VT 05401

RIA

CRD#: 148289

BURLINGTON, VT

Past

October 19, 2004 - August 5, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

SCOTTSDALE, AZ

Past

October 13, 2004 - August 5, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

SCOTTSDALE, AZ

Past

June 3, 2003 - October 7, 2004

CAPTIVE INVESTMENT STRATEGIES, INC.

RIA

CRD#: 124863

SCOTTSDALE, AZ

Past

August 15, 2001 - January 13, 2003

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

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

Arizona
(1/1/2009)

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 66

Date: 5/19/2003

Uniform Combined State Law Examination

General Industry/Product Exam

Series 31

Date: 9/24/2001

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 8/13/2001

General Securities Representative Examination

Current Firm

TEMPUS ASSET MANAGEMENT

TEMPUS ASSET MANAGEMENT | TEMPUS ASSET MANAGEMENT LLC

CRD#: 148289 / SEC#:

Arizona

Registered Investment Advisory firm - (1/1/2009 Approved)

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Contact information

Main Address

247 Pearl St Suite 209, Burlington, VT 05401

Mailing Address

Phone number

(480) 600-5615

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Yves R. Lapointe

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Yves Remi Lapointe's CRS (Customer Relationship Summary).

Certified licenses

Experience

TEMPUS ASSET MANAGEMENT

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CAPTIVE INVESTMENT STRATEGIES, INC.

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 5/19/2003

Series 31

Date: 9/24/2001

Series 7

Date: 8/13/2001

Current Firm

TEMPUS ASSET MANAGEMENT

Contact information

Documents

Red Flags

Company Information

TEMPUS ASSET MANAGEMENT

TRUST BUT VERIFY

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