Lloyd J. 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.
Lloyd Joseph Morales was a registered financial professional .
Lloyd is a previously registered financial professional and started their career in finance in 1976. Lloyd had worked at 6 firms and has passed the Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 4, 2008 - February 28, 2013
FOOTHILL SECURITIES, INC.
August 4, 2008 - February 28, 2013
FOOTHILL SECURITIES, INC.
May 4, 2007 - July 3, 2008
CONCORD EQUITY GROUP ADVISORS, LLC
January 14, 2003 - April 27, 2007
THE CONCORD EQUITY GROUP, LLC
June 4, 1998 - August 7, 2008
THE CONCORD EQUITY GROUP, LLC
April 29, 1998 - August 12, 1998
EMISSARY FINANCIAL GROUP, INC.
December 24, 1992 - March 17, 1998
MONEY CONCEPTS CAPITAL CORP
August 6, 1976 - December 23, 1992
WADDELL & REED
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 1
Date: 8/2/1976
Registered Representative ExaminationCurrent Firm
FOOTHILL SECURITIES, INC.
CRD#: 1027 / SEC#: 801-57293, 8-11117
Contact information
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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