Samuel Morales is a registered investment advisor, based in Spring, TX, with 10 years of industry experience.
Location
Spring, TX
Get directionsHistory
Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
Samuel works as an investment advisor for Insigneo Advisory Services LLC, dedicating about 10-20% of his time. He also owns SMAS Investments LLC, a pass-through entity for tax purposes, and spends minimal time managing it.
Employment History
Current Registrations
Insigneo Securities, LLC
December 2023 - Present · 2 yrs 9 mos
Insigneo Advisory Services, LLC
December 2023 - Present · 2 yrs 9 mos
Insigneo Securities, LLCBroker
December 2023 - Present · 2 yrs 9 mos
Previous Registrations
PNC Investments
May 2022 - November 2023 · 1 yr 6 mos
PNC InvestmentsBroker
November 2021 - November 2023 · 2 yrs
Bny Mellon Capital Markets, LLCBroker
December 2020 - October 2021 · 10 mos
Pershing LLCBroker
November 2020 - October 2021 · 11 mos
Bbva Securities INC.Broker
September 2015 - October 2020 · 5 yrs 1 mo
State Registrations4 states
CAFLMITX
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.