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Carlos Arturo Morales
CRD#: 5086692
IA
Investment Adviser
B
Broker
VECTORGLOBAL IAG, INC.CRD#: 147129 1001 BRICKELL BAY DRIVE
SUITE 1900
MIAMI, FL 33131
VECTORGLOBAL WMGCRD#: 32396 1001 BRICKELL BAY DRIVE
SUITE 1900
MIAMI, FL 33131
Registration History
200620082010201220142016201820202022202420262 FIRMS2006 - 2011 (5 years)2 FIRMS2014 - 2017 (3 years)2 FIRMS2017 - Present (7 years)BARCA CAPITAL INVESTMENTS, INC. (CRD# 109819)2012 - 2013 (<1 year)
Disclosure(s)
View By:
2/23/2018
Customer Dispute
Denied
License(s)

State Registrations

B
California 5/8/2017

B
Michigan 5/8/2017

B
Florida 5/8/2017

B
New York 5/8/2017

IA
Florida 7/31/2017

B
Oklahoma 5/8/2017

B
Massachusetts 5/8/2017

IA
Texas 7/18/2017

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
VECTORGLOBAL IAG, INC. (CRD#:147129)
1001 BRICKELL BAY DRIVE SUITE 1900, MIAMI, FL 33131
Registered with this firm since 7/18/2017

B
VECTORGLOBAL WMG (CRD#:32396)
1001 BRICKELL BAY DRIVE SUITE 1900, MIAMI, FL 33131
Registered with this firm since 5/8/2017

Previous Registration(s)
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IA
07/14/2014 - 05/05/2017 UBS FINANCIAL SERVICES INC. (CRD#:8174) CORAL GABLES, FL
B
03/21/2014 - 05/05/2017 UBS FINANCIAL SERVICES INC. (CRD#:8174) CORAL GABLES, FL
B
11/20/2012 - 10/31/2013 ARCA CAPITAL INVESTMENTS, INC. (CRD#:109819) MIAMI, FL
IA
07/20/2006 - 06/01/2011 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) MIAMI, FL
B
04/03/2006 - 06/01/2011 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) MIAMI, FL
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B
Broker
IA
Investment Adviser
Disclosures
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.