MM
Morry G. Morales
AXOS INVEST,
San Diego, CA 92122
Some features on this profile are disabled
CRD#: 7166014
MM
Professional summary
Morry Gene Morales, who also goes by Morry Gene Dela Cruz Barrientos, Morry Morales, Morry Gene Barrientos Morales, Morales, is a registered financial advisor currently at AXOS INVEST, INC located in San Diego, California and AXOS INVEST LLC located in San Diego, California.
Morry is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Morry has worked at 4 firms and has passed the Series 66, Series 63, Series 7TO, Series 6TO, SIE and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Morry Gene Dela Cruz Barrientos | Morry Morales | Morry Gene Barrientos Morales | Morales
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.
Banana Republic | Not Investment Related | San Diego, CA | Clothing/Textile Manufacturing | Sales Associate | 10/30/2014 | Less than 40 hours per month ; 0 during trading hours | I advise and sell clothes to Clients. I help clients with Men's Fashion for both professional and personal clothing: for corporate events, job interviews, professional clothes for work, family occasions and vacations.
CRS (Client Relationship Summary) - RIA
Click below to view Morry Gene 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
April 8, 2024 - Present
AXOS INVEST, INC
Office #1: 4350 La Jolla Village Drive Suite 1000, San Diego, CA 92122RIA
CRD#: 150953
San Diego, CA
Current
April 8, 2024 - Present
AXOS INVEST LLC
Office #1: 4350 La Jolla Village Drive, San Diego, CA 92122BD
CRD#: 172393
San Diego, CA
Past
March 29, 2023 - March 29, 2024
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
San Diego, CA
Past
March 29, 2023 - March 29, 2024
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
San Diego, CA
Past
October 14, 2021 - November 30, 2022
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
SAN DIEGO, CA
Past
October 3, 2019 - November 30, 2022
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
SAN DIEGO, CA
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".
AI
AXOS INVEST, INC
ARCHIPELAGO CAPITAL MANAGEMENT LLC | WISEBANYAN, INC. | WISEBANYAN | HWM CAPITAL MANAGEMENT LLC | AXOS INVEST, INC
CRD#: 150953 / SEC#: 801-79951
RIA
Registered Investment Advisory firm - (6/25/2014 Approved)California
Registered Investment Advisory firm - (8/13/2014 Terminated)Connecticut
Registered Investment Advisory firm - (7/28/2014 Terminated)Delaware
Registered Investment Advisory firm - (7/14/2014 Terminated)District of Columbia
Registered Investment Advisory firm - (7/14/2014 Terminated)Indiana
Registered Investment Advisory firm - (7/14/2014 Terminated)Louisiana
Registered Investment Advisory firm - (8/1/2014 Terminated)Michigan
Registered Investment Advisory firm - (7/21/2014 Terminated)Nevada
Registered Investment Advisory firm - (8/18/2014 Terminated)New Jersey
Registered Investment Advisory firm - (7/11/2014 Terminated)New York
Registered Investment Advisory firm - (7/14/2014 Terminated)Pennsylvania
Registered Investment Advisory firm - (7/28/2014 Terminated)Rhode Island
Registered Investment Advisory firm - (7/14/2014 Terminated)South Carolina
Registered Investment Advisory firm - (7/14/2014 Terminated)Texas
Registered Investment Advisory firm - (7/14/2014 Terminated)Virginia
Registered Investment Advisory firm - (7/14/2014 Terminated)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
Alabama(4/8/2024)
RR
Alaska(4/8/2024)
RR
Arizona(4/8/2024)
RR
Arkansas(4/8/2024)
RR
California(4/8/2024)
IAR
California(4/8/2024)
RR
Colorado(4/8/2024)
RR
Connecticut(4/8/2024)
RR
Delaware(4/8/2024)
RR
District of Columbia(4/8/2024)
RR
Florida(4/8/2024)
RR
Georgia(4/8/2024)
RR
Hawaii(4/8/2024)
RR
Idaho(4/8/2024)
RR
Illinois(4/8/2024)
RR
Indiana(4/8/2024)
RR
Iowa(4/8/2024)
RR
Kansas(4/8/2024)
RR
Kentucky(4/8/2024)
RR
Louisiana(4/8/2024)
RR
Maine(4/8/2024)
RR
Maryland(4/8/2024)
RR
Massachusetts(4/8/2024)
RR
Michigan(4/8/2024)
RR
Minnesota(4/8/2024)
RR
Mississippi(4/8/2024)
RR
Missouri(4/8/2024)
RR
Montana(4/8/2024)
RR
Nebraska(4/8/2024)
RR
Nevada(4/8/2024)
RR
New Hampshire(4/8/2024)
RR
New Jersey(4/8/2024)
RR
New Mexico(4/8/2024)
RR
New York(4/8/2024)
RR
North Carolina(4/8/2024)
RR
North Dakota(4/8/2024)
RR
Ohio(4/8/2024)
RR
Oklahoma(4/8/2024)
RR
Oregon(4/8/2024)
RR
Pennsylvania(4/8/2024)
RR
Puerto Rico(4/8/2024)
RR
Rhode Island(4/8/2024)
RR
South Carolina(4/8/2024)
RR
South Dakota(4/8/2024)
RR
Tennessee(4/8/2024)
RR
Texas(4/8/2024)
RR
Utah(4/8/2024)
RR
Vermont(4/8/2024)
RR
Virginia(4/8/2024)
RR
Washington(4/8/2024)
RR
West Virginia(4/8/2024)
RR
Wisconsin(4/8/2024)
RR
Wyoming(4/8/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/12/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 10/3/2019
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
AI
AXOS INVEST, INC
ARCHIPELAGO CAPITAL MANAGEMENT LLC | WISEBANYAN, INC. | WISEBANYAN | HWM CAPITAL MANAGEMENT LLC | AXOS INVEST, INC
CRD#: 150953 / SEC#: 801-79951
RIA
Registered Investment Advisory firm - (6/25/2014 Approved)California
Registered Investment Advisory firm - (8/13/2014 Terminated)Connecticut
Registered Investment Advisory firm - (7/28/2014 Terminated)Delaware
Registered Investment Advisory firm - (7/14/2014 Terminated)District of Columbia
Registered Investment Advisory firm - (7/14/2014 Terminated)Indiana
Registered Investment Advisory firm - (7/14/2014 Terminated)Louisiana
Registered Investment Advisory firm - (8/1/2014 Terminated)Michigan
Registered Investment Advisory firm - (7/21/2014 Terminated)Nevada
Registered Investment Advisory firm - (8/18/2014 Terminated)New Jersey
Registered Investment Advisory firm - (7/11/2014 Terminated)New York
Registered Investment Advisory firm - (7/14/2014 Terminated)Pennsylvania
Registered Investment Advisory firm - (7/28/2014 Terminated)Rhode Island
Registered Investment Advisory firm - (7/14/2014 Terminated)South Carolina
Registered Investment Advisory firm - (7/14/2014 Terminated)Texas
Registered Investment Advisory firm - (7/14/2014 Terminated)Virginia
Registered Investment Advisory firm - (7/14/2014 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
9205 W Russell Road Suite 400, Las Vegas, NV 89148
Mailing Address
Phone number
(858) 376-6055
Established
Firm type
Fiscal year end
# of Employees
13
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 9,625 |
| AUM (Assets Under Management) | $ 146,996,118 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/17/2025 | ||
| 01/21/2025 | ||
| 03/04/2024 | ||
| 01/27/2023 |
Red Flags
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.
