Morris Arnold Galter
Professional Summary
Morris Arnold Galter was a registered financial advisor. Morris was a previously registered financial advisor and started their career in finance 1980 - 2011. Morris had worked at 10 firms and has passed the Series 65, Series 63, Series 55, Series 3, Series 5, Series 7, Series 53, Series 24, Series 4 and Series 8 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.
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Years of Experience
46 years in the financial services industry
Current & Past Employments
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Current Firm
AFFORDABLE SECURITIES | RIVERSTONE WEALTH MANAGEMENT, INC. | RIVERSTONE WEALTH MANAGEMENT | FIRST FINANCIAL INVESTMENT SECURITIES, INC. | FIRST AVANTUS SECURITIES, INC.
Contact Information
Established
Texas since 01/23/1996Firm Type
CorporationFiscal Year End
DecemberDirect owners and executive officers
Disclosures
Regulatory Event
5Arbitration
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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.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Dec 2002Series 5 — Interest Rate Options Examination
Passed Oct 1981Series 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Dec 1988Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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