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MARK ELIAS MORALES
CRD#: 2850654
IA
B
WELLS FARGO ADVISORSCRD#: 19616 18700 N HAYDEN RD STE 525
SCOTTSDALE, AZ 85255
SCOTTSDALE, AZ 85255
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12/1/1997
Employment Separation After Allegations
5/18/1987
Criminal
Final Disposition
State Registrations
B
Alabama 6/18/2014
B
Michigan 5/11/2017
B
Alaska 2/14/2020
B
Minnesota 11/13/2008
B
Arizona 1/1/2008
B
Missouri 9/1/2021
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Arizona 5/26/2010
B
Nevada 1/1/2008
B
Arkansas 10/3/2023
B
New Hampshire 1/1/2008
B
California 1/1/2008
B
New Mexico 4/3/2024
B
Colorado 1/1/2008
B
North Carolina 4/24/2021
B
Florida 10/2/2012
B
Ohio 7/30/2019
B
Georgia 2/21/2023
B
Oregon 6/1/2017
B
Hawaii 6/28/2022
B
Pennsylvania 12/11/2008
B
Illinois 7/7/2022
B
Tennessee 2/27/2017
B
Indiana 8/1/2022
B
Texas 10/4/2021
B
Iowa 4/20/2017
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Texas 10/4/2021
B
Kansas 1/1/2008
B
Vermont 12/1/2022
B
Kentucky 11/26/2013
B
Virginia 6/4/2018
B
Maryland 1/5/2009
B
Washington 11/7/2023
B
Massachusetts 1/1/2008
B
Wisconsin 9/10/2018
SRO Registrations
B
B
B
B
B
B
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IA
Registered with this firm since 5/26/2010
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Registered with this firm since 1/1/2008
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 08/12/2005 - 01/03/2008 | GREEN VALLEY, AZ | |
B | 06/19/1998 - 08/23/2005 | PURCHASE, NY | |
B | 03/10/1997 - 12/04/1997 | DETROIT, MI |
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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.
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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.