EM
Erik Moisan
RAYMOND JAMES (USA) LTD.
Montreal, H3B 4W5
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CRD#: 5833929
EM
Professional summary
Erik Moisan is a registered financial advisor currently at RAYMOND JAMES (USA) LTD. .
Erik is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Erik has worked at 2 firms and has passed the Series 63, SIE and Series 38 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)Raymond James Ltd ("RJL"), a registered investment dealer with CIRO, is the Canadian affiliate and parent company of Raymond James (USA) Ltd. The business is investment related. Erik Moisan is located at 1000, rue de la Gauchetiere Ouest, Bureau 2600 Montreal Quebec Canada H3B 4W5 and has been employed since 2017/05/15. He is a full-time employee and his title with RJL is "Associate Investment Advisor". He devotes 160 hours a month to his business during business and trading hours. His job duties include sales. 2)RAYMOND JAMES FINANCIAL PLANNING LTD ("RJFP") IS THE INSURANCE AND ESTATE PLANNING DIVISION OF RAYMOND JAMES LTD. RJFP DEALS WITH INSURANCE SOLUTIONS, WEALTH MANAGEMENT, TAX AND ESTATE PLANNING AND BUSINESS CONTINUITY. Erik Moisan is located at 1000, rue de la Gauchetiere Ouest, Bureau 2600 Montreal Quebec Canada H3B 4W5 AND HAS BEEN LICENSED WITH RJFP SINCE June 2, 2017. HE IS A FULL-TIME EMPLOYEE. HE DEVOTES __5 HOURS A MONTH TO THIS BUSINESS. HIS JOB DUTIES INCLUDE LIFE INSURANCE SALES &/OR FINANCIAL PLANNING. 3) University Club of Montreal. The club is running a social dinning club with no specific location, he is President and chief representative of members wishes since June 1, 2020, and devotes 12 hours a months outside trading hours to this activity. His job duties includes coordinator of various committees such as wine and food, library and art, membership and finance, runs monthly council meetings.
CRS (Client Relationship Summary) - RIA
Click below to view Erik Moisan's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Erik Moisan'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®
NoneExperience
Current
June 22, 2017 - Present
RAYMOND JAMES (USA) LTD.
Office #1: 1000 De La Gauchetiere West Suite 2600, Montreal, H3B 4W5RIA
BD
CRD#: 25853
Montreal,
Current
July 24, 2018 - Present
RAYMOND JAMES (USA) LTD.
Office #1: 1000 De La Gauchetiere West Suite 2600, Montreal, H3B 4W5RIA
BD
CRD#: 25853
Montreal,
Past
January 24, 2011 - March 21, 2017
RBC PRIVATE COUNSEL (USA) INC.
RIA
CRD#: 109648
QUEBEC, MONTREAL,
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".
RJ
RAYMOND JAMES (USA) LTD.
GOEPEL MCDERMID (USA) INC. | RAYMOND JAMES LTD (USA), INC. | RAYMOND JAMES (USA) LTD. | RAYMOND JAMES (USA) LTD | GOEPEL, SHIELDS & PARTNERS USA, INC.
CRD#: 25853 / SEC#: 801-72137, 8-42071
RIA
Registered Investment Advisory firm - SEC (2/10/2011 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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.RR
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
RR
Alabama(4/24/2024)
RR
California(1/10/2019)
RR
Connecticut(4/22/2022)
RR
Florida(3/13/2019)
RR
Georgia(11/23/2020)
RR
Indiana(5/13/2024)
RR
Kentucky(7/29/2024)
RR
Maine(3/28/2023)
RR
Massachusetts(1/31/2020)
RR
Michigan(8/6/2019)
RR
Mississippi(9/7/2021)
RR
New Hampshire(4/3/2023)
RR
New Jersey(9/8/2021)
RR
New York(3/13/2019)
RR
Ohio(8/19/2021)
RR
Pennsylvania(1/23/2024)
RR
Puerto Rico(10/24/2023)
RR
South Carolina(7/12/2022)
IAR
Texas(6/22/2017)
RR
Virginia(3/15/2019)
RR
Washington(9/13/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 38
Date: 7/23/2018
Canada Module of the General Securities Registered Representative (Without Options Questions)SRO Registrations
RR
FINRA
Current Firm
RJ
RAYMOND JAMES (USA) LTD.
GOEPEL MCDERMID (USA) INC. | RAYMOND JAMES LTD (USA), INC. | RAYMOND JAMES (USA) LTD. | RAYMOND JAMES (USA) LTD | GOEPEL, SHIELDS & PARTNERS USA, INC.
CRD#: 25853 / SEC#: 801-72137, 8-42071
RIA
Registered Investment Advisory firm - SEC (2/10/2011 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
925 West Georgia Street - 2100, Vancouver, V6C3L2
Mailing Address
925 West Georgia Street - 2100, Vancouver, B.c., V6C 3L2
Phone number
(604) 659-8200
Established
Firm type
Corporation
Fiscal year end
September
Firm Size
Medium
# of Employees
175
SEC notice filing (31 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES LTD. | OWNER | |
| AYYUB, HARRIS | SR. MANAGER & CHIEF COMPLIANCE OFFICER (ACTING) | 7789868 |
| BALEZENTIS, PATRICIA | DIRECTOR | 2262711 |
| BARKO, SHAWN JOSEPH | DIRECTOR | 2690394 |
| BOYLE, SEAN PATRICK | DIRECTOR | 5517025 |
| LIM, CHRISTOPHER JOHN | CHIEF FINANCIAL OFFICER | 6090679 |
| MARCUS, STEVEN ROBERT | DIRECTOR, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2820004 |
| SERBANOS, EFSTRATIOS MICHAEL | GENERAL COUNSEL | 2267667 |
Regulatory assets under management
| Total Number of Accounts | 4,869 |
| AUM (Assets Under Management) | $ 1,991,381,912 |
Disclosures
| Regulatory Event | 1 |
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
RAYMOND JAMES (USA) LTD.
CRD#: 25853Montreal, H3B 4W5TRUST BUT VERIFY
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