Michael T. Moretti

BLUE CHIP FINANCIAL ADVISORS, LLP

East Providence, RI 02915

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CRD#: 4696803

Professional summary

Michael Thomas Moretti is a registered financial advisor currently at BLUE CHIP FINANCIAL ADVISORS, LLP located in East Providence, Rhode Island and OSAIC WEALTH, INC. located in East Providence, Rhode Island.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Michael has worked at 4 firms and has passed the Series 66, Series 65, Series 99TO, SIE, Series 7 and Series 24 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.

1-INSURANCE SALES-MULTIPLE CARRIERS; NON-INVESTMENT RELATED; 34 HEMINGWAY DRIVE, EAST PROVIDENCE, RI 02915; INSURANCE SALES; PRODUCER/AGENT/BROKER; 2003; 1 HR/MONTH; <1HR/DAY; COMPENSATION-COMMISSIONS; INSURANCE SALES. 2-BLUE CHIP FINANCIAL ADVISORS; INVESTMENT RELATED; 34 HEMINGWAY DR., EAST PROVIDENCE, RI 02915; RIA; PARTNER; SINCE 2003; 120 HRS/MONTH; 6 HRS/DAY; COMPENSATION-FEES; IAR. 3- BLUE CHIP FINANCIAL ADVISORS; INVESTMENT RELATED; 34 HEMINGWAY DR., EAST PROVIDENCE, RI 02915; REGISTERED REPRESENTATIVE SINCE 2003; 40 HRS/MONTH; 2 HRS/DAY; COMPENSATION-COMMISSIONS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Thomas Moretti'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, 2005 - Present

BLUE CHIP FINANCIAL ADVISORS, LLP

Office #1: 34 Hemingway Drive, East Providence, RI 02915

RIA

CRD#: 119510

East Providence, RI

Current

August 23, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 34 Hemingway Dr., East Providence, RI 02915

RIA

CRD#: 23131

EAST PROVIDENCE, RI

Past

August 3, 2005 - August 23, 2024

TRIAD ADVISORS LLC

CRD#: 25803

EAST PROVIDENCE, RI

Past

August 29, 2003 - August 9, 2005

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(8/23/2024)

Connecticut
(8/23/2024)

IAR

Florida
(11/6/2012)

Florida
(8/23/2024)

Maine
(8/23/2024)

Maryland
(8/23/2024)

IAR

Massachusetts
(11/1/2012)

Massachusetts
(8/23/2024)

Minnesota
(8/23/2024)

New Hampshire
(8/23/2024)

New York
(8/23/2024)

North Carolina
(8/23/2024)

IAR

Rhode Island
(3/10/2005)

Rhode Island
(8/23/2024)

South Carolina
(8/23/2024)

Vermont
(8/23/2024)

Virginia
(8/23/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/2/2003

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 5/28/2002

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/28/2003

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/26/2004

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

BLUE CHIP FINANCIAL ADVISORS, LLP

CRD#: 119510 / SEC#: 801-69244

RIA

Registered Investment Advisory firm - (9/19/2012 Terminated)

Florida

Registered Investment Advisory firm - (11/6/2012 Approved)

Louisiana

Registered Investment Advisory firm - (11/10/2022 Terminated)

Massachusetts

Registered Investment Advisory firm - (10/29/2012 Approved)

Rhode Island

Registered Investment Advisory firm - (4/4/2012 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

34 Hemingway Drive, East Providence, RI 02915

Mailing Address

Phone number

(401) 435-4239

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	178
AUM (Assets Under Management)	$ 98,780,838

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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Advisor Monitoring

Firm Stability Insights

Michael T. Moretti

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Thomas Moretti's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

TRIAD ADVISORS LLC

MML INVESTORS SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/2/2003

Series 65

Date: 5/28/2002

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 8/28/2003

Series 24

Date: 1/26/2004

FINRA

Current Firm

BLUE CHIP FINANCIAL ADVISORS, LLP

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

BLUE CHIP FINANCIAL ADVISORS, LLP

TRUST BUT VERIFY

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