Samuel T. 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.
Samuel Tino Morales, who also goes by Sam Morales, was a registered financial professional .
Samuel is a previously registered financial professional and started their career in finance in 1986. Samuel had worked at 12 firms and has passed the Series 63, 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
February 9, 2015 - December 31, 2016
MORALES WEALTH MANAGEMENT
June 17, 2014 - July 18, 2014
SSN ADVISORY, INC.
April 22, 2014 - July 18, 2014
SECURITIES SERVICE NETWORK, LLC
April 17, 2014 - April 17, 2014
SSN ADVISORY, INC.
November 18, 2005 - April 10, 2014
SECURITIES AMERICA ADVISORS, INC.
October 14, 2004 - December 5, 2005
RJL ADVISORS
April 28, 2003 - December 5, 2005
ADVISORS FINANCIAL GROUP
March 25, 2003 - April 10, 2014
SECURITIES AMERICA, INC.
April 3, 1998 - April 17, 2003
INVESTACORP ADVISORY SERVICES INC
June 18, 1992 - April 11, 2003
INVESTACORP, INC.
July 24, 1990 - July 1, 1992
SECURIAN FINANCIAL SERVICES, INC.
February 12, 1988 - June 11, 1990
AMERIPRISE FINANCIAL SERVICES, LLC
August 8, 1986 - May 7, 1987
FORESTERS FINANCIAL SERVICES, 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
MORALES WEALTH MANAGEMENT
CRD#: 172510 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 100 |
| AUM (Assets Under Management) | $ 20,000,000 |
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.
