Alfred T. Moret
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.
Alfred T Moret III, who also goes by Alfred Theophile Moret III, Alfred Theophile Moret, Alfred T Moret III Iii, was a registered financial professional .
Alfred is a previously registered financial professional and started their career in finance in 1979. Alfred had worked at 4 firms and has passed the Series 65, Series 63, Series 3, Series 5, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 2, 2018 - July 8, 2020
BETA WEALTH GROUP, INC
May 26, 2016 - August 17, 2018
VINTAGE WEST CAPITAL MANAGEMENT
April 2, 2007 - August 13, 2008
MORGAN STANLEY & CO. LLC
April 2, 2007 - August 13, 2008
MORGAN STANLEY & CO. LLC
August 24, 1998 - April 2, 2007
MORGAN STANLEY DW INC.
February 26, 1979 - April 2, 2007
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
BETA WEALTH GROUP, INC
CRD#: 165224 / SEC#: 801-77060
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 5
Date: 12/12/1981
Interest Rate Options ExaminationSeries 8
Date: 9/26/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
BETA WEALTH GROUP, INC
CRD#: 165224 / SEC#: 801-77060
Contact information
SEC notice filing (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 430 |
| AUM (Assets Under Management) | $ 428,982,018 |
Red Flags
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