Carlos A. 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.
Carlos Arturo Morales was a registered financial professional .
Carlos is a previously registered financial professional and started their career in finance in 2006. Carlos had worked at 5 firms and has passed the Series 66, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 18, 2017 - June 2, 2026
VECTORGLOBAL IAG, INC.
May 8, 2017 - June 2, 2026
VECTORGLOBAL WMG
July 14, 2014 - May 5, 2017
UBS FINANCIAL SERVICES INC.
March 21, 2014 - May 5, 2017
UBS FINANCIAL SERVICES INC.
November 20, 2012 - October 31, 2013
ARCA CAPITAL INVESTMENTS, INC.
July 20, 2006 - June 1, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 3, 2006 - June 1, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
VECTORGLOBAL IAG, INC.
CRD#: 147129 / SEC#: 801-110128
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
VECTORGLOBAL IAG, INC.
CRD#: 147129 / SEC#: 801-110128
Contact information
SEC notice filing (6 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,833 |
| AUM (Assets Under Management) | $ 1,692,879,789 |
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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