Paulo Roberto Moraes

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 06/2011 → Present
  Lpl Financial, Llc
  San Rafael, CA

Previous Registrations

• 2009-10-23 → 2011-06-13
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Santa Rosa, CA
  San Rafael, CA
  Petaluma, CA
  San Rafael, CA
  Fairfax, CA
  Tiburon, CA
  Mill Valley, CA
• 2008-08-11 → 2009-10-23
  Banc Of America Investment Services, Inc.
  San Rafael, CA
  Tiburon, CA
  Petaluma, CA
  Mill Valley, CA
  San Rafael, CA
  Fairfax, CA
• 2007-04-02 → 2008-08-13
  Morgan Stanley & Co. Llc
  San Rafael, CA
  San Rafael, CA
• 2004-10-19 → 2007-04-02
  Morgan Stanley Dw Inc.
  San Rafael, CA
  San Rafael, CA

Other Businesses

1. 9/2/2011: DBA ONLY - MORAES & CASSIDY GROUP, LLC - SAN RAFAEL, CA.

Exams

• S66 Uniform Combined State Law Examination
  2004-07-12
• S63 Uniform Securities Agent State Law Examination
  2002-07-09