Carlos E. Morales

NOCTUA INTERNATIONAL WMG

Miami, FL 33129

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CRD#: 7350364

Professional summary

Carlos Eduardo Morales is a registered financial advisor currently at NOCTUA INTERNATIONAL WMG, LLC located in Miami, Florida.

Carlos is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Carlos has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carlos Eduardo Morales's CRS (Customer Relationship Summary).

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®

None

Experience

Current

July 27, 2022 - Present

NOCTUA INTERNATIONAL WMG, LLC

Office #1: 2011 S Miami Ave, Miami, FL 33129

RIA

CRD#: 151170

Miami, FL

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".

NOCTUA INTERNATIONAL WMG, LLC

NOCTUA | NOCTUA PARTNERS | NOCTUA INTERNATIONAL WMG, LLC | NOCTUA ASSET MANAGEMENT, LLC (RELYING ADVISER) | NOCTUA ASSET GP, LLC (RELYING ADVISER)

CRD#: 151170 / SEC#: 801-70538

RIA

Registered Investment Advisory firm - (9/2/2009 Approved)

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.

Highlighted states indicate IAR registrations

IAR

Florida
(7/27/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/27/2022

Uniform Investment Adviser Law Examination

Current Firm

NOCTUA INTERNATIONAL WMG, LLC

NOCTUA | NOCTUA PARTNERS | NOCTUA INTERNATIONAL WMG, LLC | NOCTUA ASSET MANAGEMENT, LLC (RELYING ADVISER) | NOCTUA ASSET GP, LLC (RELYING ADVISER)

CRD#: 151170 / SEC#: 801-70538

RIA

Registered Investment Advisory firm - (9/2/2009 Approved)

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Contact information

Main Address

2011 S Miami Ave, Miami, FL 33129

Mailing Address

Phone number

(786) 220-0330

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NOCTUA PARTNERS (3/24/2025)

Regulatory assets under management

Total Number of Accounts	165
AUM (Assets Under Management)	$ 387,133,251

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.

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Carlos E. Morales

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carlos Eduardo Morales's CRS (Customer Relationship Summary).

Certified licenses

Experience

NOCTUA INTERNATIONAL WMG, LLC

Primary Firm SEC Registration

NOCTUA INTERNATIONAL WMG, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/27/2022

Current Firm

NOCTUA INTERNATIONAL WMG, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NOCTUA INTERNATIONAL WMG, LLC

TRUST BUT VERIFY

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