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GM

Garth O. Moreau

OXENFREE FINANCIAL
MELBOURNE, FL 32901-4725
Some features on this profile are disabled
CRD#: 5480972
GM

Professional summary

Garth Ovead Moreau, who also goes by Garth Moreau, is a registered financial advisor currently at OXENFREE FINANCIAL located in Melbourne, Florida.

Garth is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Garth has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Garth Moreau

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) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 11/2014; APX NUMBER OF HOURS PER WEEK: VARIES; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, ANNUITIES AND LONG TERM CARE (2) NAME OF OTHER BUSINESS: NOTARY PUBLIC COMMISSION; INVESTMENT RELATED: NO ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: NOTARIZING DOCUMENTS ; START DATE: 09/2022; POSITION/TITLE/RELATIONSHIP: NOTARY ; APX NUMBER OF HOURS PER WEEK: 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: NOTARIZING DOCUMENTS ;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Garth Ovead Moreau's CRS (Customer Relationship Summary).
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

July 10, 2023 - Present

OXENFREE FINANCIAL

Office #1: 1900 S. Harbor City Blvd. Ste. 111, Melbourne, FL 32901-4725
RIA
CRD#: 327105
MELBOURNE, FL
Past

June 15, 2023 - July 28, 2023

CETERA INVESTMENT ADVISERS LLC

RIA
CRD#: 105644
SATELLITE BEACH, FL
Past

May 26, 2020 - October 6, 2023

AFFINITY FINANCIAL ADVISORS

RIA
CRD#: 114412
BOKEELIA, FL
Past

November 19, 2014 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA
CRD#: 13572
SATELLITE BEACH, FL
Past

November 17, 2014 - July 28, 2023

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
SATELLITE BEACH, FL
Past

May 8, 2008 - November 18, 2014

EDWARD JONES

RIA
CRD#: 250
ST JAMES CITY, FL
Past

March 17, 2008 - November 18, 2014

EDWARD JONES

BD
CRD#: 250
ST JAMES CITY, FL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
OF
OXENFREE FINANCIAL
OXENFREE CAPITAL LLC | OXENFREE FINANCIAL

CRD#: 327105 / SEC#: 801-128275

RIA
Registered Investment Advisory firm - (7/6/2023 Approved)

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
Florida
(7/10/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/2/2008
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/14/2008
General Securities Representative Examination

Current Firm

OF
OXENFREE FINANCIAL
OXENFREE CAPITAL LLC | OXENFREE FINANCIAL

CRD#: 327105 / SEC#: 801-128275

RIA
Registered Investment Advisory firm - (7/6/2023 Approved)
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Contact information

Main Address
1900 S. Harbor City Blvd. Ste. 111, Melbourne, FL 32901-4725
Mailing Address
Phone number
(321) 722-7882
Established
Firm type
Fiscal year end
# of Employees
8

SEC notice filing (8 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

OXENFREE FINANCIAL ADV BROCHURE (1/9/2025)

Regulatory assets under management

Total Number of Accounts1,513
AUM (Assets Under Management)$ 168,352,562

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

OXENFREE FINANCIAL

CRD#: 327105Melbourne, FL 32901-4725

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