CM
Carlos A. Morales
VECTORGLOBAL IAG
Miami, FL 33131
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CRD#: 5086692
CM
Professional summary
Carlos Arturo Morales is a registered financial advisor currently at VECTORGLOBAL IAG, INC. located in Miami, Florida and VECTORGLOBAL WMG located in Miami, Florida.
Carlos is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Carlos has worked at 5 firms and has passed the Series 66, SIE, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Name of Business- Ferrenova Grupo Industrial Sa de Cv. Activity in Business - Investor Details of Business Activity- Hardware Store, paint, tool & supplies Participation- 51%
CRS (Client Relationship Summary) - RIA
Click below to view Carlos Arturo Morales's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
July 18, 2017 - Present
VECTORGLOBAL IAG, INC.
Office #1: 1001 Brickell Bay Drive Suite 1900, Miami, FL 33131RIA
CRD#: 147129
Miami, FL
Current
May 8, 2017 - Present
VECTORGLOBAL WMG
Office #1: 1001 Brickell Bay Drive Suite 1900, Miami, FL 33131BD
CRD#: 32396
Miami, FL
Past
July 14, 2014 - May 5, 2017
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
CORAL GABLES, FL
Past
March 21, 2014 - May 5, 2017
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
CORAL GABLES, FL
Past
November 20, 2012 - October 31, 2013
ARCA CAPITAL INVESTMENTS, INC.
BD
CRD#: 109819
MIAMI, FL
Past
July 20, 2006 - June 1, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
MIAMI, FL
Past
April 3, 2006 - June 1, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
MIAMI, FL
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
VI
VECTORGLOBAL IAG, INC.
FPMI LLC DBA FPW INTERNATIONAL | VECTORGLOBAL IAG, INC. | VECTORGLOBAL IAG
CRD#: 147129 / SEC#: 801-110128
RIA
Registered Investment Advisory firm - (3/17/2017 Approved)Florida
Registered Investment Advisory firm - (5/10/2017 Terminated)Illinois
Registered Investment Advisory firm - (12/31/2014 Failure to Renew)Iowa
Registered Investment Advisory firm - (2/6/2018 Terminated)New York
Registered Investment Advisory firm - (11/7/2014 Cancelled)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(5/8/2017)
RR
Florida(5/8/2017)
IAR
Florida(7/31/2017)
RR
Massachusetts(5/8/2017)
RR
Michigan(5/8/2017)
RR
New York(5/8/2017)
RR
Oklahoma(5/8/2017)
IAR
Texas(7/18/2017)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
VI
VECTORGLOBAL IAG, INC.
FPMI LLC DBA FPW INTERNATIONAL | VECTORGLOBAL IAG, INC. | VECTORGLOBAL IAG
CRD#: 147129 / SEC#: 801-110128
RIA
Registered Investment Advisory firm - (3/17/2017 Approved)Florida
Registered Investment Advisory firm - (5/10/2017 Terminated)Illinois
Registered Investment Advisory firm - (12/31/2014 Failure to Renew)Iowa
Registered Investment Advisory firm - (2/6/2018 Terminated)New York
Registered Investment Advisory firm - (11/7/2014 Cancelled)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1001 Brickell Bay Drive Suite 1900, Miami, FL 33131
Mailing Address
Phone number
(305) 350-3350
Established
Firm type
Fiscal year end
# of Employees
30
SEC notice filing (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,833 |
| AUM (Assets Under Management) | $ 1,692,879,789 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
VECTORGLOBAL IAG, INC.
CRD#: 147129Miami, FL 33131TRUST BUT VERIFY
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