David 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.
David Rafael Morales was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1995. David had worked at 6 firms and has passed the Series 63, Series 79TO, Series 82TO, Series 62, Series 7 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
January 25, 2022 - November 23, 2022
TOBIN & COMPANY SECURITIES LLC
April 20, 2009 - May 9, 2014
MORALES & CO. CAPITAL MARKETS, LLC
May 9, 2001 - May 22, 2002
CREDIT AGRICOLE SECURITIES (USA) INC.
February 10, 1998 - October 27, 2000
CREDIT SUISSE SECURITIES (USA) LLC
January 2, 1998 - January 22, 1998
CREDIT SUISSE SECURITIES (USA) LLC
July 22, 1997 - February 5, 1998
BARCLAYS CAPITAL INC.
February 23, 1995 - October 2, 1995
ING BARING (U.S.) SECURITIES, 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
Series 79TO
Date: 2/4/2022
Investment Banking Registered Representative ExaminationSeries 82TO
Date: 1/24/2022
Limited Representative-Private Securities OfferingsSeries 62
Date: 3/9/2009
Corporate Securities Limited Representative ExaminationCurrent Firm
TOBIN & COMPANY SECURITIES LLC
CRD#: 137918 / SEC#: , 8-67134
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TOBIN & COMPANY INVESTMENT BANKING GROUP LLC | PARENT COMPANY | |
| TOBIN, JUSTINE EIDT | CHIEF COMPLIANCE OFFICER | 1641345 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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