Jorge Morales, financial advisor Santa Barbara CA
83 score

Jorge Morales

CRD Number: 4485239
Current Firm: Lpl Financial LLC

Jorge Morales (CRD# 4485239) is an Investment Advisor Representative working at Lpl Financial LLC in Santa Barbara, CA and has over 14 years of experience in the finance industry.

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Company Name Location Dates Years
Lpl Financial LLC Charlotte, NC Oct 2012 - Current 4
Montecito Bank & Trust Santa Barbara, CA Oct 2012 - Current 4
Wells Fargo Advisors LLC Santa Barbara, CA Jan 2011 - Oct 2012 1
Wells Fargo Investments, LLC San Diego, CA Nov 2009 - Jan 2011 1
Kern Schools Federal Credit Union Bakersfield, CA Apr 2005 - Oct 2009 4
Cuso Financial Services, LP San Diego, CA Apr 2005 - Oct 2009 4
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Apr 2002
S66 NASAA Uniform Combined State Law Examination Mar 2006
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Jorge A. Morales
Phone Number: 617-423-3644
Firm Website: http://www.lpl.com
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    112,086
    MILLIONS
  • Total Number of Accounts
    531,091
    ACCOUNTS
  • Average Account Value
    $211,049
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

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, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
83

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