Morris A. Galter
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.
Morris Arnold Galter was a registered financial advisor .
Morris is a previously registered financial advisor and started their career in finance in 1980. 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 25, 1996 - January 18, 2011
RIVERSTONE WEALTH MANAGEMENT, INC.
April 4, 1996 - January 18, 2011
RIVERSTONE WEALTH MANAGEMENT, INC.
May 14, 1993 - April 24, 1996
DALLAS RESEARCH & TRADING, INC.
September 12, 1991 - April 16, 1993
DOVIAK SECURITIES, INC.
September 4, 1990 - June 26, 1991
WELLS FARGO CLEARING SERVICES, LLC
November 13, 1989 - September 4, 1990
LOVETT UNDERWOOD NEUHAUS & WEBB, INC.
November 23, 1987 - November 13, 1989
UNDERWOOD, NEUHAUS & CO., INCORPORATED
June 4, 1987 - September 25, 1987
TUCKER ANTHONY INCORPORATED
May 7, 1985 - May 21, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 2, 1984 - May 14, 1985
MORGAN STANLEY DW INC.
February 20, 1981 - February 23, 1984
DREXEL BURNHAM LAMBERT INCORPORATED
February 4, 1980 - March 20, 1981
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Series 55
Date: 12/9/2002
Limited Representative-Equity Trader ExamSeries 5
Date: 10/6/1981
Interest Rate Options ExaminationSeries 8
Date: 12/5/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
RIVERSTONE WEALTH MANAGEMENT, INC.
CRD#: 40418 / SEC#: 801-63700, 8-49047
Contact information
Disclosures
| Regulatory Event | 5 |
| Arbitration | 3 |
Red Flags
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