Anthony L. 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.
Anthony Louis Morales, who also goes by Tony Morales, was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 2007. Anthony had worked at 2 firms and has passed the Series 65, Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 3, 2017 - June 27, 2019
FLEXIBLE PLAN INVESTMENTS LTD
April 4, 2007 - January 21, 2011
FIFTH THIRD SECURITIES, INC.
Primary Firm SEC Registration
FLEXIBLE PLAN INVESTMENTS LTD
CRD#: 110762 / SEC#: 801-21073
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
FLEXIBLE PLAN INVESTMENTS LTD
CRD#: 110762 / SEC#: 801-21073
Contact information
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 12,557 |
| AUM (Assets Under Management) | $ 1,536,363,862 |
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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