Paulo Moraes is a registered investment advisor at LPL Financial LLC, based in Petaluma, CA, with 23 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
Location
100 Petaluma Blvd N #101, Petaluma, CA, 94952
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Regulatory History (1)
Customer Dispute
December 2008Other Business Activities
Paulo operates under the DBA Moraes & Cassidy Group, LLC, located in San Rafael, CA.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Banc of America Investment Services, INC.
Banc of America Investment Services, INC.Broker
Morgan Stanley & CO. Incorporated
Morgan Stanley & CO. IncorporatedBroker
Morgan Stanley
Morgan Stanley Dw INC.Broker
A.B. Watley, INC.Broker
Salomon Smith Barney INC.Broker
State Registrations17 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.