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CHARLES DAVID MORALES
Charlie D Morales
CRD#: 2775505
IA
B
MORGAN STANLEYCRD#: 149777 7600 Broadway
Suite 100
San Antonio, TX 78209
Suite 100
San Antonio, TX 78209
0
Disclosures
23
Years of Experience
View By:
State Registrations
B
Alabama 6/28/2022
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Nebraska 6/28/2022
B
Alaska 6/28/2022
B
Nevada 6/28/2022
B
Arizona 6/28/2022
B
New Hampshire 1/19/2024
B
Arkansas 6/28/2022
B
New Jersey 1/19/2024
B
California 6/28/2022
B
New Mexico 6/28/2022
B
Colorado 6/28/2022
B
New York 1/19/2024
B
Connecticut 6/28/2022
B
North Carolina 6/28/2022
B
Delaware 6/28/2022
B
North Dakota 6/28/2022
B
District of Columbia 1/19/2024
B
Ohio 1/22/2024
B
Florida 6/28/2022
B
Oklahoma 1/19/2024
B
Georgia 6/28/2022
B
Oregon 1/19/2024
B
Hawaii 1/19/2024
B
Pennsylvania 1/19/2024
B
Idaho 1/19/2024
B
Puerto Rico 6/28/2022
B
Illinois 6/28/2022
B
Rhode Island 6/28/2022
B
Indiana 6/28/2022
B
South Carolina 6/28/2022
B
Iowa 1/19/2024
B
South Dakota 6/28/2022
B
Kansas 1/19/2024
B
Tennessee 1/19/2024
B
Kentucky 1/19/2024
B
Texas 6/28/2022
B
Louisiana 1/19/2024
IA
Texas 6/28/2022
B
Maine 1/19/2024
B
Utah 6/28/2022
B
Maryland 1/19/2024
B
Vermont 1/19/2024
B
Massachusetts 6/28/2022
B
Virgin Islands 1/19/2024
B
Michigan 1/19/2024
B
Virginia 1/19/2024
B
Minnesota 6/28/2022
B
Washington 6/28/2022
B
Mississippi 6/28/2022
B
West Virginia 1/19/2024
B
Missouri 1/19/2024
B
Wisconsin 6/28/2022
B
Montana 6/28/2022
B
Wyoming 1/19/2024
SRO Registrations
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B
B
B
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IA
Registered with this firm since 6/28/2022
B
Registered with this firm since 6/28/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/14/2015 - 06/15/2022 | SAN ANTONIO, TX | |
B | 09/14/2015 - 06/15/2022 | SAN ANTONIO, TX | |
IA | 06/24/2015 - 09/10/2015 | SAN ANTONIO, TX | |
B | 06/24/2015 - 09/10/2015 | SAN ANTONIO, TX | |
IA | 08/31/2012 - 06/16/2015 | AUSTIN, TX | |
B | 01/26/2010 - 06/16/2015 | AUSTIN, TX | |
B | 06/26/2000 - 12/31/2008 | AUSTIN, TX |
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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.