Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark-vincent? Claim Your ProfileMark-vincent Morales is a financial advisor with Charles Schwab & CO., Inc. Mark-vincent has been in the industry since 2002 and holds a variety of licenses and certifications, including Series 7, Series 63, Series 66, Series 24, Series 4, Series 9, Series 10, and Series 53. Mark-vincent is registered with the Securities and Exchange Commission (SEC) and is a member of the Financial Industry Regulatory Authority (FINRA). In addition to his work with Charles Schwab, Mark-vincent is also involved in a separate retail business, specializing in collectibles and collectible sneakers. Mark-vincent is dedicated to providing high-quality financial advice and services to clients in the Raleigh area.
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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
1
2
NC
05/01/2023 - Present
Charles Schwab & CO., Inc. (Raleigh NC)
CA
09/23/2002 - 03/09/2018
SCOTTRADE, INC. (SANTA MONICA CA)
BOTH
Issued 03/20/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/04/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/13/2018
Series 53 - Municipal Securities Principal Examination
BC
Issued 06/16/2014
Series 4 - Registered Options Principal Examination
BC
Issued 07/02/2005
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 03/09/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/20/2002
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
Not sure Mark-vincent Morales is the right advisor for you? Invested Better is here to help.
