Best Investors Account Sign in

Pablo Morales

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Coral Gables, FL

Claim This Profile
Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2020-07-13
FL RA APPROVED 2020-07-07
  • TX RA
    APPROVED
    Since 2020-07-13
  • FL RA
    APPROVED
    Since 2020-07-07

Branch Locations

355 Alhambra Cir, Coral Gables, FL 33134 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Santander Investment Securities Inc. New York NY 05/2011 02/2020
Merrill Lynch, Pierce, Fenner & Smith Incorporated Miami FL 02/2020 Present
Bank Of America, N.A. Miami FL 04/2022 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2020-07-02
S63 Uniform Securities Agent State Law Examination 2015-08-17
  • S65 Uniform Investment Adviser Law Examination
    2020-07-02
  • S63 Uniform Securities Agent State Law Examination
    2015-08-17
Other Names
  • Pablo A Morales Gutierez
  • Pablo A Morales Gutierrez
  • Pablo Antonio Morales Gutierrez

View on SEC IAPD

Other Firms

RAYMOND JAMES & ASSOCIATES, INC.
STIFEL, NICOLAUS & COMPANY, INCORPORATED
ACCUMULATOR OPERATIONS LLC
021 INVESTMENTS LLC
VIM WEALTH MANAGEMENT, LLC
CETERA INVESTMENT ADVISERS LLC
AMERANT INVESTMENTS, INC.
MORGAN STANLEY

Other Investors

MIGUEL ANGEL VIYELLA
SONNIA VIYELLA
SERGIO MARISCAL LOZANO
Heidy Frank
CHRISTOPHER JOHN BRUCE
JUAN PABLO MILITELLO
ANNE-SOPHIE M COLAS
LAURA STECKLER

Other Offices

RAYMOND JAMES & ASSOCIATES, INC. · CORAL GABLES, FL
STIFEL, NICOLAUS & COMPANY, INCORPORATED · Coral Gables, FL
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · CORAL GABLES, FL
ACCUMULATOR OPERATIONS LLC · CORAL GABLES, FL
021 INVESTMENTS LLC · MIAMI, FL
VIM WEALTH MANAGEMENT, LLC · CORAL GABLES, FL
CETERA INVESTMENT ADVISERS LLC · Coral Gables, FL
VIM WEALTH MANAGEMENT, LLC · Coral Gables, FL

More in Coral Gables, FL

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor