Roberto MoralesCRD Number: 4540968
Current Firm: D.a. Davidson & Company
Roberto Morales (CRD# 4540968) is an Investment Advisor Representative working at D.a. Davidson & Company in Los Angeles, CA and has over 6 years of experience in the finance industry.
H. Beck, Inc.
Bridge Advisory LLC
Wedbush Securities Inc.
|D.a. Davidson & Company||Los Angeles, CA||Aug 2015 - Current||5|
|D.a. Davidson & Company||Los Angeles, CA||Nov 2013 - Aug 2015||1|
|Crowell, Weedon & Company||Los Angeles, CA||Jul 2006 - Nov 2013||7|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Mar 2014|
|S65||NASAA Investment Advisors Law Examination||Feb 2020|
Total Assets Under Management18,449MILLIONS
Total Number of Accounts57,712ACCOUNTS
Average Account Value$319,667
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Performance-based fees
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Publication of periodicals or newsletters
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY
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