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STEPHANIE DELANA MORALES
CRD#: 2288509
IA
B
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 PHOENIX, AZ
CETERA ADVISOR NETWORKS LLCCRD#: 13572 PHOENIX, AZ
0
Disclosures
27
Years of Experience
View By:
State Registrations
B
Arizona 12/17/2019
B
New Mexico 12/17/2019
IA
Arizona 6/29/2023
B
Oregon 10/8/2020
B
California 12/17/2019
B
Texas 12/17/2019
B
Louisiana 12/17/2019
IA
Texas 6/29/2023
B
Nebraska 10/26/2023
B
Virginia 2/10/2022
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
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IA
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 12/17/2019 - 06/29/2023 | Phoenix, AZ | |
IA | 01/23/2002 - 12/23/2019 | TUCSON, AZ | |
B | 12/04/2000 - 12/23/2019 | TUCSON, AZ | |
B | 05/05/1997 - 12/13/2000 | SPRINGFIELD, MA |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.