Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Diego? Claim Your ProfileDiego Morales is a financial advisor with Wells Fargo Clearing Services, LLC. Diego has been in the financial industry since 1998. He is a registered representative with FINRA and a registered investment advisor with the state of North Carolina. Diego holds the Series 7, Series 52, Series 63, and Series 65 licenses. Diego previously worked at Wachovia Securities, Inc., CSFBDIRECT, INC., Banc of America Investment Services, Inc. and Olde Discount Corporation. Diego specializes in working with high-net-worth individuals, corporations, and institutions. He provides a variety of financial services, including investment consulting, financial planning, portfolio management, and retirement planning. Diego is committed to providing his clients with personalized and comprehensive financial advice.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
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.
Investment consulting services to institutional clients
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.
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2
NC
06/20/2002 - Present
Wells Fargo Clearing Services, LLC (CHARLOTTE NC)
NC
04/03/2001 - 06/15/2002
WACHOVIA SECURITIES, INC. (CHARLOTTE NC)
NJ
12/01/1999 - 03/08/2001
CSFBDIRECT, INC. (JERSEY CITY NJ)
MA
05/06/1998 - 11/12/1999
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
MI
05/13/1997 - 06/23/1997
OLDE DISCOUNT CORPORATION (DETROIT MI)
IA
Issued 06/03/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/22/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/08/1999
Series 7 - General Securities Representative Examination
BC
Issued 05/12/1997
Series 52 - Municipal Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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