Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Samuel? Claim Your ProfileSamuel Morales is a registered representative with Morgan Stanley. Samuel has been in the financial services industry since 2010. Samuel is licensed to conduct business in Alabama, Alaska, Arizona, California, Colorado, Connecticut, District of Columbia, Florida, Georgia, Idaho, Illinois, Indiana, Kansas, Louisiana, Maryland, Massachusetts, Michigan, Minnesota, Missouri, Montana, Nebraska, Nevada, New Jersey, New Mexico, New York, North Carolina, Ohio, Oklahoma, Oregon, Pennsylvania, Rhode Island, South Carolina, Tennessee, Texas, Utah, Vermont, Virginia, Washington, Wisconsin, and Wyoming. Samuel also holds the Series 7, Series 66, and SIE licenses. Samuel's previous employment includes roles at CITIGROUP GLOBAL MARKETS INC., J.P. MORGAN SECURITIES LLC, and METLIFE SECURITIES INC.
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.
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.
Strategic management for diversified investment portfolios.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
CA
08/06/2024 - Present
Morgan Stanley (Los Angeles CA)
CA
05/16/2019 - 04/18/2024
CITIGROUP GLOBAL MARKETS INC. (Los Angeles CA)
CA
05/01/2013 - 05/21/2019
J.P. MORGAN SECURITIES LLC (LOS ANGELES CA)
CA
09/20/2011 - 04/12/2013
METLIFE SECURITIES INC. (LOS ANGELES CA)
CA
07/09/2010 - 09/29/2011
J.P. MORGAN SECURITIES LLC (LOS ANGELES CA)
CA
11/02/2009 - 07/29/2010
DEUTSCHE BANK SECURITIES INC. (LOS ANGELES CA)
BOTH
Issued 12/30/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/29/2009
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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