Hector 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.
Hector Luis Morales was a registered financial professional .
Hector is a previously registered financial professional and started their career in finance in 2013. Hector had worked at 2 firms and has passed the Series 66, SIE 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
October 5, 2015 - November 28, 2022
BEDROCK INVESTMENT ADVISORS
January 29, 2014 - October 20, 2015
LPL FINANCIAL LLC
July 16, 2013 - October 20, 2015
LPL FINANCIAL LLC
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
BEDROCK INVESTMENT ADVISORS
CRD#: 173131 / SEC#: 801-108290
Contact information
Regulatory assets under management
| Total Number of Accounts | 224 |
| AUM (Assets Under Management) | $ 49,768,046 |
Red Flags
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