Osvaldo R. Morales
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.
Osvaldo Ramon Morales was a registered financial advisor .
Osvaldo is a previously registered financial advisor and started their career in finance in 1986. Osvaldo had worked at 4 firms and has passed the Series 63, Series 65, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 23, 2004 - August 15, 2006
KOVACK SECURITIES INC.
November 23, 2004 - September 6, 2006
KOVACK ADVISORS, INC.
July 1, 2004 - September 6, 2006
KOVACK SECURITIES INC.
January 30, 1998 - June 22, 2004
WALNUT STREET SECURITIES, INC.
May 14, 1986 - February 9, 1998
VOYA FINANCIAL ADVISORS, INC.
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
Current Firm
KOVACK SECURITIES INC.
CRD#: 44848 / SEC#: , 8-50847
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 5 |
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.
