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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Phillipe? Claim Your ProfilePhillipe Morales is a financial advisor currently registered with Citigroup Global Markets Inc. Phillipe is a licensed investment advisor representative who has over 18 years of experience in the financial services industry. Phillipe has worked for several firms, including Morgan Stanley Smith Barney, E*TRADE Securities LLC, Pershing LLC, and TD Waterhouse Investor Services, Inc. Phillipe has been registered with Citigroup Global Markets Inc. since 2007 and has been registered as an investment advisor representative since 2010. Phillipe is a Series 63, Series 65, Series 7, Series 9, Series 10, and SIE licensed representative. Phillipe specializes in providing financial advice to individuals, corporations, and institutions. Phillipe can help you with a wide range of financial planning needs, including investment management, retirement planning, estate planning, and insurance.
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.
Asset allocation advice
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.
A percentage of the total value of assets under management is charged.
1
2
FL
08/23/2010 - Present
Citigroup Global Markets Inc. (TAMPA FL)
FL
06/01/2009 - 08/30/2010
MORGAN STANLEY SMITH BARNEY (TAMPA FL)
FL
09/07/2007 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (TAMPA FL)
FL
09/11/2006 - 09/13/2007
E*TRADE SECURITIES LLC (TAMPA FL)
NJ
08/03/2005 - 09/09/2005
PERSHING LLC (JERSEY CITY NJ)
NE
11/05/2004 - 07/27/2005
TD WATERHOUSE INVESTOR SERVICES, INC. (OMAHA NE)
IA
Issued 10/05/2007
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/30/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/17/2008
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/11/2008
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/04/2004
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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