Eduardo R. Morales
Professional summary
Eduardo Ricardo Morales was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Eduardo is a previously registered financial professional and started their career in finance in 1999. Prior to being barred, Eduardo had worked at 6 firms, which includes PHD CAPITAL, DALTON KENT SECURITIES GROUP INC., ANDREW ALEXANDER WISE & COMPANY INCORPORATED, M.S. FARRELL & COMPANY INC., WEATHERLY SECURITIES CORPORATION, JOSEPH STEVENS & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 18, 2001 - September 19, 2001
PHD CAPITAL
February 8, 2001 - March 20, 2001
DALTON KENT SECURITIES GROUP, INC.
October 23, 2000 - December 5, 2000
ANDREW, ALEXANDER, WISE & COMPANY INCORPORATED
June 9, 2000 - October 27, 2000
M.S. FARRELL & COMPANY, INC.
January 27, 2000 - February 25, 2000
WEATHERLY SECURITIES CORPORATION
November 19, 1999 - December 8, 1999
JOSEPH STEVENS & CO., INC.
State Registrations and Notice Filings
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Exams
Current Firm
PHD CAPITAL
CRD#: 38785 / SEC#: , 8-48403
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
| Arbitration | 2 |
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