Walter A. Morales
Professional summary
Walter Alexis Morales III was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Walter is a previously registered financial advisor and started their career in finance in 1984. Prior to being barred, Walter had worked at 4 firms, which includes COMMONWEALTH ADVISORS INC, SECURITIES SERVICE NETWORK LLC, SECURITIES AMERICA INC., A. G. EDWARDS & SONS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 14, 1999 - December 31, 2013
COMMONWEALTH ADVISORS INC
September 26, 1994 - October 16, 1998
SECURITIES SERVICE NETWORK, LLC
October 8, 1991 - September 19, 1994
SECURITIES AMERICA, INC.
October 30, 1984 - August 24, 1989
A. G. EDWARDS & SONS, INC.
State Registrations and Notice Filings
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Exams
Series 15
Date: 4/23/1985
Foreign Currency Options ExaminationCurrent Firm
COMMONWEALTH ADVISORS INC
CRD#: 106401 / SEC#: 801-39749
Contact information
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