Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Anthony? Claim Your ProfileAnthony Morales is a financial advisor at Merrill Lynch, Pierce, Fenner & Smith Inc. Anthony has been in the industry since May 14, 2019. Anthony holds the Series 66, Series 7TO and SIE licenses. Anthony is registered to provide investment advice in Connecticut and Texas. Anthony is also a registered representative in California, Colorado, Connecticut, Florida, Indiana, Maine, Massachusetts, New Hampshire, New Jersey, New York, North Carolina, Ohio, Pennsylvania, Rhode Island, Texas, Utah, Vermont, and Virginia. Anthony has experience working for Citigroup Global Markets Inc. and Wells Fargo Clearing Services, LLC. In addition to Anthony's work with Merrill Lynch, Pierce, Fenner & Smith Inc., Anthony is also the Owner of ZERO GAMING, a small esports team.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CT
10/18/2022 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (RIDGEFIELD CT)
CT
01/04/2022 - 08/16/2022
CITIGROUP GLOBAL MARKETS INC. (RIDGEFIELD CT)
CT
09/29/2021 - 12/16/2021
WELLS FARGO CLEARING SERVICES, LLC (NEW CANAAN CT)
CT
01/09/2019 - 07/15/2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (STAMFORD CT)
BOTH
Issued 02/07/2019
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/09/2019
Series 7TO - General Securities Representative Examination
BC
Issued 12/07/2018
SIE - Securities Industry Essentials Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
Nasdaq Stock Market
N
New York Stock Exchange
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